Working in partnership with employers, professional bodies and trade associations, National Occupational Standards have been developed for Advising on Securities/Derivatives in both the Retail and Non-Retail Markets.

Background information

Work on developing National Occupational Standards for Advising on Securities/Derivatives first commenced in 2006, and approval for publication was secured in October 2007. These Standards are divided between Providing Retail Advice on Securities/Derivatives, and Providing Advice on Securities/Derivatives in the Non-Retail Market.

An incremental review of these Standards took place during 2009 with the remit to ensure that they remain topical and relevant to the industry, and to address any gaps in coverage. The review of them was informed by a project Working Group, together with a UK-wide industry consultation.

The National Occupational Standards

The revised NOS detail the competencies required during the following stages of providing advice on Securities/Derivatives: Account opening / administration, Disclosure, Information Gathering, Analysis, Strategy and Recommendation; Ongoing Service.

They can be downloaded below.

Further information

For further information about these NOS, please contact the NOS team by emailing [email protected] or by calling 0845 618 2379.

Your feedback

We welcome feedback on the National Occupational Standards which we have produced. If you would like to comment on the NOS for Advising on Securities/Derivatives, please complete and return the feedback form (which can be downloaded below) to [email protected].