DBS

14 QUALIFICATION PROVIDER QUALIFICATION PROVIDED ACTIVITY NO. KEY ACI THE FINANCIAL MARKETS ASSOCIATION ACI Diploma (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) 2, 3, 12, 13 A ASSOCIATION OF CERTIFIED INTERNATIONAL INVESTMENT ANALYSTS (ACIIA) CIIA qualification (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) 2, 3, 12, 13 A ASSOCIATION OF INTERNATIONAL WEALTH MANAGEMENT (AIWM) Certified International Wealth Manager Diploma (CIWM) 2, 3, 12, 13 A CANADIAN SECURITIES INSTITUTE Canadian Securities Course (CSC) and Conduct and Practices Handbook Course (CPH) – must include a pass in both modules (provided it is accompanied by appropriate qualifications in Regulation and Ethics and Personal Taxation) – both courses must be completed 2, 12 B CASS BUSINESS SCHOOL MSC in Banking and International Finance (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) 2, 3, 12, 13 A MSC in Investment Management pre 2003 syllabus (provided it is accompanied by appropriate qualifications in Regulation and Ethics and Personal Taxation) 2, 3, 12, 13 B CFA INSTITUTE AND THE CFA SOCIETY OF THE UK Level 1 of CFA Program plus Investment Management Certificate (Level 4) 2, 3, 12, 13 A Completion of CFA Program plus Investment Management Certificate Unit 1: The investment environment (Level 4) Holder of Associate qualification (associate member) 2, 3, 12, 13 B Level 1 of CFA Program plus Investment Management Certificate (Level 3) Completion of CFA Program plus Investment Management Certificate Unit 1: UK Regulation and Markets (Level 3) Holder of Associate qualification (Fellow) CFA SOCIETY OF UK* Investment Management Certificate (Level 4) plus other qualifications that meet specialist standards for advising on securities 2, 12 A CHARTERED ALTERNATIVE INVESTMENT ANALYSIS ASSOCIATION (CAIA) CAIA Level 1 (provided it is accompanied by appropriate qualifications in Regulation and Ethics and Personal Taxation) 2, 12 B CHARTERED INSTITUTE OF BANKERS IN SCOTLAND Associateship - (must include a pass in the Investment Paper) 2, 3, 12, 13 B CHARTERED INSTITUTE FOR SECURITIES AND INVESTMENT (CISI) (FORMERLY THE SECURITIES AND INVESTMENT INSTITUTE (SII); FORMERLY THE SECURITIES ASSOCIATION) Investment Advice Diploma (where candidate holds 3 modules including the securities module) 2, 12 A Masters in Wealth Management (Post 2010 examination standards) 2, 3, 4, 6, 12, 13 B Certificate in Private Client Investment Advice and Management Certificate in Private Client Investment Advice and Management (attained through a CISI competency interview and presentation only) Diploma (where candidate holds 3 modules as recommended by the firm) Investment Advice Certificate Masters in Wealth Management (pre 2010 examination standards) Member of the Securities Institute (MSI Dip) (where candidate holds 3 modules as recommended by the firm) “We will be focusing on crowdfunded DBS, held within an IFISA as we feel that they are a better fit for advisers looking for the safest bets for their clients; they are as regulated as shares or bonds bought via the retail market (although, as non-readily realisable securities), they are not standard assets and as fully transferable securities, they fall into the scope of MiFID.” *(FORMERLY THE UK SOCIETY OF INVESTMENT PROFESSIONALS/ INSTITUTE OF INVESTMENT MANAGEMENT AND RESEARCH (IIMR))