Examination for those advising and /or dealing in securities/derivatives on behalf of retail clients
Since 1st November 2007, employees advising and/or dealing in securities / securities and financial derivatives/derivatives/financial derivatives on behalf of retail clients (which could include clients which have opted to be treated as retail clients under MiFID) have been subject to FSA’s T & C Sourcebook and the Financial Services Skills Council (FSSC) Appropriate Examination list.
Investment and Risk exam Facts
A 1 ½ hour paper consisting of 60 multiple-choice questions
From 1 May 2008, employees completing a qualification to advise and/or deal in derivatives / financial derivatives on behalf of retail clients (which could include clients which have opted to be treated as retail clients under MiFID) will have to take the additional Investment and Risk unit.
Since 1 May 2008, retail employees advising and dealing in derivatives or financial derivatives need to take:
Entry requirements There are no formal prerequisites for the Investment and Risk exam. 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 the qualification. 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:
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This exam 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.
Entry requirements