ApEx Standards - Advising on Securities/Advising and Dealing in Securities

ApEx Standards - Advising on Securities/Advising and Dealing in Securities

The new qualification benchmark for the regulated activities ‘Advising on Securities' and ‘Advising and Dealing in Securities' includes all the Appropriate Exam Standards as shown in the box below. All examinations submitted to be included on the revised Appropriate Examination list for this activity will need to include and meet the standards in all the subject areas shown.

ApEx Standards: Retail Investment Advice - Advising on Securities/Advising and Dealing in Securities 3 layered diagram: First layer contains two stacked boxes: Side heading of - Application of Knowledge and Advice Activity Standards with the first box saying Application Standards and the second Securities. The bottom layers, Core Standards, contains three boxes in a line. Investment Principles and Risk, Personal Taxation and Financial Services, Regulation and Ethics.

 

 


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