Finance Advice

This area is a list of suitable qualifications which are currently available in the sector.

Advising on Packaged Products (which are not broker funds).

Packaged Products

  1. a life policy;
  2. a unit in a regulated collective investment scheme;
  3. an interest in an investment trust savings scheme;
  4. a stakeholder pension scheme;
  5. a personal pension scheme;

Whether or not (in the case of (a), (b) or (c)) held within an ISA or a CTF and whether or not the packaged product is also a stakeholder product.

 

Qualification

Awarding Body

Appropriate Exam

Meeting NOS

Certificate for Financial Advisers (CeFA) – Post 1/11/2004

IFS School of Finance

Yes
until 31/12/2012

Yes
View NOS

Certificate in Financial Planning

Chartered Insurance Institute

Yes
until 31/12/2012

Yes
View NOS

Certificate in Investment Planning (Post 17/09/2004)

Chartered Institute of Bankers in Scotland

Yes 
until 31/12/2012

Yes
View NOS

Level 4 Diploma in Financial Planning

Chartered Insurance Institute

Yes

No

Level 6 Advanced Diploma in Financial Planning

Chartered Insurance Institute

No

No

Level 4 Diploma for Financial Advisers  IFS School of Finance Yes No
SCQF Level 9 (QCF Level 5) Diploma in Investment Planning Chartered Institute of Bankers in Scotland Yes No
Diploma in Professional Financial Advice SQA  Yes No
Investment Advice Diploma  CISI Yes No 

 

Islamic Finance

The Islamic Finance qualification is aimed at new and existing investment professionals specialising in Sharia'a compliant finance trade, investment and insurance.  Covering Islamic Finance from both a technical and Sharia'a perspective, the IFQ is a practical Islamic Banking qualification which also covers legal aspects of Sharia'a which underpins all Islamic contracts.

Qualification

Awarding Body

Appropriate Exam

Meeting NOS

Islamic Finance Qualification (IFQ)

The Chartered Institute for Securities & Investment

No

N/A

 


 

Financial Crime

In accordance with section 6(3) of the Act) any kind of criminal conduct relating to money or to financial services or markets, including any offence involving:

  1. fraud or dishonesty; or
  2. misconduct in, or misuse of information relating to, a financial market; or
  3. handling the proceeds of crime;

In this definition, "offence" includes an act or omission which would be an offence if it had taken place in the United Kingdom.

Qualification

Awarding Body

Appropriate Exam

Meeting NOS

ICA Diploma in Financial Crime Prevention

International Compliance Association

N/A

Yes

View NOS

 

 

 

 

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