Retirement Planning. A short guide for J04, J05 and R04 candidates

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Cookie policy. Change language. Main languages. The qualifications are underpinned by further learning and development tools including ASSESS, an online service that keeps technical knowledge up-to-date. The suite of products is available to individual candidates and corporate purchasers. Organisations have access to dedicated Corporate Development Managers who can help develop bespoke packages to fit their particular requirements.

The framework and the associated products and services cater for all levels of experience, from those starting out in their career to experienced, qualified advisers seeking to maintain and enhance their knowledge. Reflecting professional, commercial and regulatory requirements Qualifications are at the heart of the UK s financial services regulatory regime, and the CII is dedicated to providing solutions that are relevant, up-to-date and practical.

In addition to delivering an unrivalled programme of qualifications, the framework is responsive to individual requirements. If and when a practitioner identifies a gap in their knowledge perhaps as a consequence of new responsibilities, regulatory developments or changes in market practice , he or she can develop their knowledge as required.

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This can be done either by studying for an overall qualification or by simply choosing a particular unit on a standalone basis. The framework delivers in-depth coverage of a broad range of subjects. This reflects the growing desire of many practitioners to enhance their awareness of sector specialisms once they have laid a foundation of general market knowledge via benchmark qualifications such as the Diploma in Financial Planning, Diploma in Regulated Financial Planning and the Mortgage Advice.

Obtaining qualifications and aligning them with general career development can deliver genuine business benefits. They can help provide a competitive advantage, assist with regulatory compliance, support entry in to new markets and enhance the range and quality of advice that can be provided. This is an extension of the individual Chartered Financial Planner title for those businesses which demonstrate their adherence to the highest standards of professional practice.

Further details can be found on page Corporate Chartered status is one more way in which the CII is helping boost the professionalism and prestige of the financial advice sector. We would recommend that the following sections are read in conjunction with the diagram which appears on the cover flap at the front of this brochure. The Paraplanning comprises four compulsory units: and ethics; R02 Investment principles and risk; R03 Personal taxation; and J09 Paraplanning. With the exception of the paraplanning unit which is assessed by coursework assignments subjects are assessed by multiple-choice exams.

Up, candidates are awarded the Paraplanning. Continuing Professional Development requirements apply. The Financial Planning is a relevant learning pathway for those employed in support or ancillary non-advisory functions in the financial advice market. Requiring completion of five units, the Certificate develops knowledge and understanding of: regulatory issues; the mechanics and purpose of the main investment products; and the process of giving advice to clients.

The following qualifications are for those in non-advisory financial services roles. The Award in Financial Administration is an introductory qualification providing a vital grounding in the financial services industry, the process of investment planning and the administration of life or pensions business, according to the unit selected.

Importantly, it satisfies the regulatory exam requirements for overseers of certain administrative life and pensions functions. The Life and Pensions is a modular qualification that allows candidates to self-select from 24 available units covering a wide range of financial services topics so that they can build a learning programme matched to their job role or career requirements. This introductory qualification provides the essential knowledge and skills needed by a wide range of operational staff working with investments.

It develops an understanding of financial services and a practical insight into investment operations. Importantly, the Investment Operations also satisfies the FCA qualification requirements for overseers of certain investment operations functions. Across two units it provides a vital grounding in: the financial services industry, including key aspects of legislation and regulation.

It also helps develop an appreciation of the process of investment planning and the types of products involved; and the operational administration of collective investment schemes, individual savings accounts and client servicing, according to the unit selected. Up candidates will be awarded the Investment Operations. These qualifications are relevant for anyone seeking to advice on mortgages and equity release and for those working in support roles.

Holders of each Certificate meet the FCA examination requirements needed to advise on these classes of business. The Mortgage Advice requires completion of two units providing a general introduction to the UK financial services industry and to the mortgage advice process in particular. The Equity Release requires a total of three units requiring completion existing qualified financial or mortgage advisers typically only need to complete one additional unit.

Holders of these qualifications can use credits gained towards other CII qualifications such as the financial advice qualification the Diploma in Regulated Financial Planning. The Diploma in Regulated Financial Planning is particularly suitable for those who don t hold existing CII credits that can count towards completion of the Diploma in Financial Planning.

The CII J05 April 12222 Exam in Review

Covering six compulsory units, the Diploma develops core technical knowledge and financial planning capabilities: and ethics; R02 Investment principles and risk; R03 Personal taxation; R04 Pensions and retirement planning; R05 Financial protection; and R06 Financial planning practice. Holders of the first unit, R01 Financial services,, are authorised to advise under supervision while they work towards completion of the full Diploma. They will also receive recognition, in the form of credits, towards the Advanced Diploma in Financial Planning and Chartered Financial Planner status. Candidates who also complete the Diploma in Regulated Financial Planning, the Financial Planning, or their equivalents, will meet the regulatory examination requirement for anyone who advises on investments and long term care insurance products.

Diploma in Financial Planning Confirming your status, enhancing your potential The Diploma in Financial Planning is a tried-and-tested qualification held by over 25, individuals.

CII financial services qualifications framework

When completed in combination with appropriate qualification gap fill activity, the Diploma meets the FCA exam standards for those advising on retail investment products. The Diploma in Financial Planning is more suitable than the Diploma in Regulated Financial Planning for those candidates who hold additional prior learning that counts towards completion, as it reduces the number of exams required to complete.

The Diploma in Financial Planning develops core technical knowledge and understanding across a broad range of key advisory areas, with 30 units in total from which to build a study programme. Modular in structure, with no compulsory units, the Diploma allows you to develop a learning programme that reflects your personal circumstances.

They will also receive recognition, in the form of at least credits, towards the Advanced Diploma in Financial Planning leading to higher-level designations and Chartered Financial Planner status.

The Securities Advice and Dealing comprises four compulsory units: and ethics; R02 Investment principles and risk; R03 Personal taxation; and J12 Securities advice and dealing. Up candidates will be awarded the Securities Advice and Dealing. Discretionary Investment Management Advanced Diploma in Financial Planning BS IS Statement of Professional Standing The essential qualification for the discretionary investment management sector Putting professionalism into practice A work-based measure of professional planning capability 4 This qualification develops the wealth strategy and portfolio management skills required for effective discretionary investment management and satisfies the FCA s appropriate qualification requirements for this class of business.

The Certificate is also relevant for those monitoring the outsourcing of this activity and for those in investmentrelated support roles who wish to further demonstrate their knowledge of investments. The Discretionary Investment Management comprises two compulsory units: and ethics; and J10 Discretionary investment management. Up, candidates are awarded the Discretionary Investment Management. The Advanced Diploma supports professional advisers in developing specialist planning capabilities.


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It builds on existing skills and technical knowledge gained through workplace training and previous study undertaken, typically completion of the Diploma in Financial Planning, Diploma in Regulated Financial Planning or the first completion level of the AFPC, all of which carry the designation DipPFS. Completion of the Advanced Diploma prepares holders to provide a sophisticated and comprehensive approach to financial management.

The Advanced Diploma covers topics key to financial planners: Personal tax and trust planning Business financial planning Pension planning Investment planning Senior management and supervision Financial planning process Importantly, previous completion of CII financial planning qualifications, or equivalent from other professional bodies, is recognised through the provision of credits that can be used towards completion of the Advanced Diploma. Those wishing to continue their studies can also work towards Fellowship of the Personal Finance Society credits are required to obtain the fellowship.

BS ISO certification demonstrates that a financial planner has: achieved an internationally-recognised level of competence in the six identified stages of the financial planning process; completed relevant CPD; and adheres to an ethical code of conduct. BS ISO is a valuable and practical measure of a financial planner s ability to perform their role to an objectivelymeasured standard of capability and competence.

It also supports the adviser s business by demonstrating the quality of the processes and procedures in place.

In addition to being a public statement of planning competence, successful completion may provide credits that can be used towards Diploma and Advanced Diploma in Financial Planning qualifications. This confirms that an adviser adheres to ethical standards, holds appropriate qualifications for their role including completion of gap fill and has undertaken appropriate CPD during the year. The SPS is renewable on an annual basis.

Further information can be found online at For more information on PFS membership, the support it provides and how to join, please refer to the inside front cover of this brochure. This influences their method of study and helps determine the type of learning support they prefer.

To accommodate these different requirements we have developed a comprehensive suite of learning and revision aids that caters for all styles of learning. Not only that, they can improve candidates chances of achieving that all-important pass. RevisionMate Available free when you purchase a unit study option, RevisionMate is a comprehensive online study tool, providing access to a suite of services including: a study planner, mock exams with model answers, and useful hints and tips.

How does the framework work in practice? To provide a flavour of how the framework works in practice, opposite and overleaf are five examples showing how qualifications are relevant to different roles in the industry. The framework is sufficiently flexible and comprehensive to satisfy the requirements and aspirations of individuals from a diverse range of sectors and roles. In all cases the credits will count towards further study for professional-level financial planning qualifications for those choosing to pursue their studies. Question packs Online packs each contain questions, providing comprehensive self-testing of the unit syllabus.

Available for units R01 R05, questions are delivered online through RevisionMate providing flexible and interactive test delivery. A choice of courses are typically available, ranging from single-day courses to intensive multiple-day workshops to evening and Saturday courses. Audio revision Available for the majority of Diploma and some Advanced Diploma units, MP3 audio material covers the key elements of each subject, providing an ideal way to reinforce the learning from the study text and for making use of time spent when travelling.

Key fact booklets Pocket-sized summaries of the core study text available for the majority of Certificate and Diploma units ideal for use when travelling to and from work, or when study from the main text is impractical. LEARN interactive tutorial Available for the majority of Certificate and Diploma units, this online learning service provides unrivalled interactive learning, revision and self-assessment tools to assist study.

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