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Chartered Insurance Institute
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Key facts


Key facts for the Certificate in Securities Advice and Dealing

Ofqual Regulated Qualification Framework (RQF) Level Level 4
Number of available units 4 Diploma units
Compulsory units 4 units
• (R01) Financial services, regulation and ethics
• (R02) Investment principles and risk
• (R03) Personal taxation
• (J12) Securities advice and dealing
CII credits required to complete (existing credits carried forward) 70
CII credits per unit J12/R01/R02 - 20 credits
R03 - 10 credits
Combination of units at any level allowed Not applicable
Exam format

R01/R02
• Online, 2 hours
• 100 multiple choice questions
R03
• Online, 1 hour
• 50 multiple choice questions
J12
• Online, 2 hours
• 75 multiple choice questions

Average study time per unit R01/R02 - 60 hours
R03 - 50 hours
J12 - 70 hours
Availability of exam sessions (Details shown apply to the UK. Outside of the UK exams are offered twice-yearly) Year-round (J12/R01-R03)
Availability varies from centre to centre, but typically weekly
Entry requirements? None
Credits available for prior learning? Yes
Record of Achievement issued for each exam pass? Yes
CII/PFS membership designation CertPFS (Securities)
PFS members are entitled to use on completion