Flashcards
D3: Appropriate examinations
Cards in this deck (3)
- 1List published by Financial Skills Partnership for various authorised activitiesThreshold qualifications req'd for advising on investments & home finance but not non-investment insurance activities yet
- 2Discretionary mgmnt, occupational pension TVs, equity release - further specified approved exams req'dEmployee must be assessed as competent for such an activity unless they have passed each module of extra approved exam
- 3Dec 20101 - FSA issued PS10/18 to confirm those entering industry > 30/6/09 now have 30 months from 1/1/11 (or date they enter industry) to complete investments level 4 examsFor those already in industry deadline was 31/12/12. Firms can limit no. of attempts or time span for individuals to pass. Threshold req's apply from start of 2013.
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- CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C6: Principles & rules set out in reg. framework) Flashcards on D3: Appropriate examinations, created by Mark Varela on 02/06/2014.
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- Mark Varela
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