R01 – Financial Services, Regulations and Ethics: This qualification assesses a knowledge and understanding of the financial services industry, including regulation, legislation and the Code of Ethics.
R02 – Investments Principles and Risk: This qualification assesses a knowledge and understanding of investment products and the application of the investment advice process.
R03 – Personal Taxation: This qualification assesses a knowledge and understanding of the UK taxation system, and the ability to analyse the taxation treatment of individuals and trusts during the investment advice process.
R04 – Pensions and Retirement Planning: This qualification assesses a knowledge and understanding of and ability to analyse pension and retirement planning issues.
R05 – Financial Protection: This qualification assesses a knowledge and understanding of and ability to analyse financial protection planning issues.
R06 – Financial Planning Practice: This qualification assesses the practical application of technical knowledge and planning skills already gained, typically through previous study, thereby supporting the provision of competent and appropriate advice.
LP2 – Financial Services Products and Solutions: Covers core customer needs and how to match them with suitable financial solutions, including protection, mortgage, savings, investment products and key tax wrappers.
J10 – Discretionary Investment Management: Focuses on discretionary management structures, portfolio theory, investment types and regulatory responsibilities, enabling effective portfolio construction and client suitability assessment.
J12 – Securities Advice and Dealing: Provides understanding of the features and risks of securities, how markets operate, and the principles of clearing, settlement and custody, supporting appropriate investment recommendations.
AF4 – Investment Planning: Develops advanced skills in analysing investment needs, assessing economic and market factors, and constructing suitable investment portfolios using detailed knowledge of investment products and risk.
AF5 – Financial Planning Process: Assesses ability to apply the full financial planning process, including evaluating client objectives, analysing financial status and risk, comparing options and forming clear, well‑reasoned financial plans.
BA – International Relations and Economics
