FSA Financial Regulation (Certificates)

The aim of the examination is to ensure candidates have an understanding of the regulations and legislation that underpin the financial markets and the conduct of investment business. On completion of the unit candidates will be familiar with the regulatory environment in which the UK securities industry operates; know the relevance of the Financial Services and Markets Act 2000 and associated legislation and regulations; understand FSA’s Conduct of Business Rules and know the complaints and redress procedures.

MiFID Compliance

mifid As a result of MiFID, firms may find that a number of their clients, which they treat as wholesale clients, seek reclassification as retail clients, to gain the protections that retail clients are entitled to. Employees advising retail clients must obtain the retail version of the qualification. SII has adapted all regulatory examinations to ensure they are MiFID compliant.


Additional Exam Information

Entry requirements
There are no formal prerequisites for sitting FSA Financial Regulation. Experience in the industry will help candidates relate what they are learning to the job they are doing but it is not a requirement of taking this exam. Examination entries are accepted from private individuals as well as via an employer.

Syllabus
Information on the current syllabus can be found under the Syllabuses page.

Studying, Training, Booking your exam:

SII's Certificate workbooks are written by investment professionals and trainers with the candidate in mind, using worked examples, self-test questions and revision points. Order your book to start studying NOW

In addition to using the workbook, candidates can train with one of our Accredited Training Providers (ATPs), click here to find your nearest training centre

The certificate is examinable via Computer Based Testing (CBT). Candidates sit their exams at one of the many CBT test centres located worldwide. Candidates receive instant results when leaving the test centre.



For information on:



cisi.org To visit the new website of the Chartered Institute for Securities & Investment, click cisi.org