Financial Services Regulation Ltd
Like the firms that we work for, we are passionate about the benefit that financial services can bring to consumers and that done correctly, financial advice can only be in their best interests. We are committed to ensure that financial services professionals can concentrate on what they do best; giving financial advice to their customers. We achieve this by taking the “other stuff” off their hands freeing up their time.

Our qualifications


 

General Financial Qualifications 

CISI PCIAM Private Client Investment Advice and Management (Level 6), AF1 Personal Tax & Trust Planning, AF5 Financial Planning Process J01 Personal Tax, J08 Financial Planning Practice, CF5 Integrated Financial Planning, CF8 Long Term Care, R05 Financial Protection, FPC Financial Planning Certificate. 

 

Regulation and Ethics 

CISI Diploma in Investment Compliance (Level 6), AF6 Senior Management and Supervision, CISI Integrity matters (Grade A), R01 Financial Services, regulation and ethics, H15 Supervision and Sales Management examination, CF1 UK Financial Services, Regulation and Ethics. 

 

Pension Qualifications 

AF3 Pension Planning, R08 Pensions Update, J04 Pension Funding Options, J05 Pension Income Options, G60 Pensions, CF9 Pensions Simplification. 

 

Investment Qualifications 

AF4, Investment Planning, J10 Discretionary Investment Management, CISI Investment Advice Diploma (Securities), J06 Investment Principles, Markets and Environment, SV1 Savings and Investments.