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Chartered Insurance Institute
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Key information


What does the qualification involve?

In order to complete the Diploma in Financial Planning:

 

  1. One of the following CII qualifications, or equivalent, must be held; Certificate in Financial Services (General route or Life and pensions route), Certificate in Regulated Financial Services Operations or the withdrawn Certificate in Financial Planning.
  2. You must pass at least one unit from the Diploma in Financial Planning by CII assessment.
  3. At least 80 credits must be at Diploma level. The following also count towards this requirement:
      • One Advanced Diploma in Financial Planning unit (AF1-AF8) - or a maximum of 30 Advanced Diploma non-specific credits awarded after the end of 2006.
      • Advanced Diploma level credits from withdrawn AFPC units, credits from some specified units in the general insurance framework.
  4. A total of 140 credits must be achieved. The credits can consist of any CII financial services non-specific credits or credits from financial services units, excluding LF1, credits from some specified units in the general insurance framework. This requirement is subject to a maximum of 30 credits gained from Advanced Diploma in Financial Planning units (AF1-AF8) counting towards the qualification as a whole.

Unit overview:

Unit

Assessment method

Study hours*

Credits awarded

Unit level

 

 

 

 

 

(J02) Trusts

·         2-hour exam

·         Written short answer questions

·         55% nominal pass mark**

100

20

4

(J03) The tax and legal aspects of business

·         2-hour exam

·         Written short answer questions

·         55% nominal pass mark**

100

20

4

(J05) Pension income options

·         2-hour exam

·         Written short answer questions

·         55% nominal pass mark**

100

20

4

(J07) Supervision in a regulated environment

·         2-hour exam

·         Written short answer questions

·         55% nominal pass mark**

100

20

4

(J09) Paraplanning

·         3 written coursework assignments, each typically 2,000 to 3,000 words

·         65% nominal pass mark

100

30

4

(J10) Discretionary investment management

·         2-hour exam

·         70 multiple choice questions and 4 case studies each comprising 5 multiple choice questions

·         65% nominal pass mark**

80

20

4

(J11) Wrap and platform services

·         2-hour exam

·         Written Short answer questions plus 2 essay-style questions

·         55% nominal pass mark**

100

20

4

(J12) Securities advice and dealing

·         2-hour exam

·         60 multiple choice questions and 3 case studies each comprising 5 multiple choice questions

70

20

4

(R01) Financial services, regulation and ethics

·         2-hour exam

·         100 multiple choice questions

·         65% nominal pass mark**

60

20

4

(R02) Investment principles and risk

·         2-hour exam

·         100 multiple choice questions

·         65% nominal pass mark**

60

20

4

(R03) Personal taxation

·         1-hour exam

·         50 multiple choice questions

·         65% nominal pass mark**

50

10

4

(R04) Pensions and retirement planning

·         1-hour exam

·         50 multiple choice questions

·         65% nominal pass mark**

50

10

4

(R05) Financial protection

·         1-hour exam

·         50 multiple choice questions

·         70% nominal pass mark**

50

10

3

(R06) Financial planning practice

·         3-hour exam comprising 2 written case studies on financial planning practice (candidates receive the case studies 2 weeks prior to exam sitting)

·         55% nominal pass mark**

100

30

4

(R07) Advanced mortgage advice

·         2-hour exam

·         55 multiple choice questions and 4 case studies each comprising 5 multiple choice questions

·         65% nominal pass mark**

70

15

4

(R08) Pensions update (withdrawing August 2018)

·         1-hour exam

·         40 multiple choice questions and 1 case study comprising 5 multiple choice questions

·         65% nominal pass mark**

50

10

4

Find out more about assessment methods, including exam policies and centres »


Units treated as equivalent

Due to the extent of syllabus overlap, certain combinations of current and withdrawn CII units will result in only one award of credits.

If a withdrawn equivalent is held you may not need to complete a current unit in order to satisfy a qualification's completion rules. Clarification should always be sought from CII Customer Service.

Find out more about credit awards for equivalent units »

 

*The recommended minimum study hours will vary depending on your experience and ability.

** The actual pass mark may vary from one session to another to ensure consistency in pass standards.