DBS
15 QUALIFICATION PROVIDER QUALIFICATION PROVIDED ACTIVITY NO. KEY CHARTERED INSURANCE INSTITUTE Certificate in Securities Advice and Dealing 2, 12 A Fellow or Associate (life and pensions route only) 2, 3, 12, 13 B Advanced Financial Planning Certificate 2, 3, 4, 6, 12, 13 B Diploma in Financial Planning plus a pass in J12: Securities advice and dealing 2, 12 A DEUTSCHE BOERSE AG Certified Securities Trader (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) 2, 12 B Certified Derivatives Trader (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) FACULTY OR INSTITUTE OF ACTUARIES Fellow or Associate or where the individual has passed all of the following modules: CT1, CT2, CT4, CT5, CT6, CT7 and CT8 2, 3, 4, 6, 12, 13 A FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) – FORMERLY THE NATIONAL ASSOCIATION OF SECURITIES DEALERS (NASD) Series 7 - General Securities Representatives Examination (provided it is accompanied by appropriate qualifications in Regulation and Ethics and Personal Taxation) 2, 3, 12, 13 B IFS UNIVERSITY COLLEGE (FORMERLY THE IFS SCHOOL OF FINANCE/ CHARTERED INSTITUTE OF BANKERS) Associateship (must include a pass in the Investment / Investment Management Paper) 2, 3, 4, 6, 12, 13 B JAPANESE SECURITIES DEALERS ASSOCIATION Representative of Public Securities Qualification - Type 1 (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) 2, 3, 12, 13 B LONDON STOCK EXCHANGE (THE CHARTERED INSTITUTE FOR SECURITIES AND INVESTMENT (CISI)* London Stock Exchange Full Membership Exams (and other regional stock exchanges as merged with London Stock Exchange) – where candidate holds three or four papers or holds both the Stock Exchange Practice and Techniques of Investment papers 2, 3, 4, 6, 12, 13 B MANCHESTER METROPOLITAN UNIVERSITY BA (Hons) Financial Services, Planning and Management 2, 3, 4, 6, 12, 13 A SIX SWISS EXCHANGE Certified Securities Trader the Swiss Markets Insight course (provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) 2, 12 B THE SECURITIES ANALYSTS ASSOCIATION OF JAPAN (SAAJ) CMA Level 2 (for individuals advising before 30 June 2009) 2, 3, 12, 13 B CMA Level 2 (for individuals not advising before 30 June 2009 – provided it is accompanied by appropriate qualifications in Regulation and Ethics, Investment Principles and Risk and Personal Taxation) UNIVERSITY OF STIRLING BA in Finance 2, 4, 6, 12 B BA in Finance and Accounting 2, 3, 4, 6, 12, 13 B MSc in Finance 2, 3, 12, 13 B MSc in international Accounting and Finance (where candidates hold modules as recommended by the firm) MSc in Investment Analysis “Debt securities have much better investor protection than equity. In principle both equity and debt based crowdfunding could be potentially a large market benefiting investors and UK plc.” – Danny Cox, Hargreaves Lansdown *(FORMERLY THE SECURITIES AND INVESTMENT INSTITUTE (SII); FORMERLY THE SECURITIES ASSOCIATION) SOURCE: DOWNING
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