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Certificate in Securities Advice and Dealing

Vital knowledge for those advising or dealing in securities

The RQF level 4 Certificate in Securities Advice and Dealing satisfies the FCA appropriate qualification requirement for those advising or dealing in securities, developing in-depth knowledge of investment and securities products, the UK taxation system and considerations for appropriate investment recommendations.

  • Anyone seeking to advise or deal in securities
  • Anyone working in a related support role looking to develop knowledge of the market

Before studying, check to see whether any of your previous academic qualifications or credits from other professional bodies and institutes can be carried towards completion of the Certificate.

Find out more about recognition of prior learning

Specific study time guidelines are provided for each unit on its webpage and in the CII qualifications brochure. The notional Ofqual ‘Total Qualification Time’ for this qualification is 240 hours. This represents the time a student might typically take to complete the qualification.

Certificate level units are a assessed by multiple choice question (MCQ) exams. For online MCQ exams, results notification is immediate on completion. For paper-based MCQ exams, results are released five weeks' following the exam sitting.

Find out more about assessments, including policies and exam centres

Qualification units are delivered through purchasing an Enrolment, equipping you with the essential materials to support core learning. For a single fee, an Enrolment typically includes: study text, assessment and access to RevisionMate, our online study tool. 

We also offer additional revision aids through purchasing Enrolment plus for most key units. These range from Key fact booklets and Question packs, to Learn online tutorials.

Due to the extent of syllabus overlap, certain combinations of current and withdrawn units will result in only one award of credits.

If a withdrawn equivalent is held you may not need to complete a current unit in order to satisfy a qualification's completion rules.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

Completion requirements

Core units

The Certificate comprises four core units, providing a total of 70 credits on successful completion.

Unit
Credits
Level
 
R01
Financial services, regulation & ethics
Credits : 20
Level : 4
R02
Investment principles and risk
Credits : 20
Level : 4
R03
Personal taxation
Credits : 10
Level : 4
J12
Securities advice and dealing
Credits : 20
Level : 4

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