Candidates with appropriate examinations may apply for exemption from either UK Financial Regulation or Introduction to Securities and Investment. Exemption from the technical exams. Candidates seeking exemption must offer a qualification which was obtained after 1 December 2001.
Chartered Insurance Institute (CII)
The following are accepted for exemption from UK Financial Regulation.
IFS School of Finance
- Financial Planning Certificate (FPC) – Unit 1 (FPC1)
- Certificate in Financial Planning (CF) – Unit 1 (CF1)
- Diploma in Regulated Financial Planning – Unit 1 (RO1)
- Certificate for Financial Advisers (CeFA) – Module 1 (CeFA1)
- Certificate in Mortgage Advice and Practice (CeMAP) – Unit 1 (CeMAP1)
- Investment Management Certificate (IMC) – either Level 3 or Level 4 (full IMC or Paper 1)
Exemption from Introduction to Securities and Investment - all the units above are accepted as are the following:
Professional Qualifications Glasgow Caledonian University
- MSc/MA awards with financial content (eg MSc Finance, MSc Investment Management) will be considered.
Special arrangements exist. Contact firstname.lastname@example.org
There are a number of other qualifications that are acceptable and appear in the FCA tables for operations roles. If you are in doubt, please contact email@example.com A very limited number of qualifications enable a candidate to gain exemption from two IOC units, relating solely to Pensions and Life Policy Administration. To Apply Download the IOC exemption form. Exemption from the IOC exams costs £50.