Appropriate Exams List FAQs
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Important NoticeOn 16 December 2009 the Financial Services Authority (FSA), as part of the Retail Distribution Review (RDR), published CP09/31: Delivering the Retail Distribution Review which includes details on transitional qualifications. For further information visit www.fsa.gov.uk or call the FSA's Contact Centre on 0207 066 0990.
T&C Sourcebook ReviewDue to the review of the T&C sourcebook, the wording and numbering of the FSA regulated activities below have had some minor changes.For further information, please visit the TC Appendix 1 on the FSA website.Legacy QualificationsDue to the large amount of appropriate examinations on the Appropriate Exam List, some of which are no longer available, the FSSC has decided to archive a number of these appropriate examinations for the majority of the regulated activities below.These examinations will remain appropriate examinations but will be accessible at legacy qualifications. This will allow the user to first view appropriate examinations that meet the FSSC's appropriate examination standards (AES) and are currently available.Recommended Exam ListDue to the disapplication of the appropriate examination requirements for wholesale business (CP05/10 & FS06/1), the Financial Services Services Council (FSSC) has developed a recommended exam list.The recommended exam list will provide guidance to firms and individuals as to the exams they can take if they wish to. Examinations on the list are offered by awarding bodies subject to a third party quality assurance mechanism and match national occupational standards (NOS) where they exist.The FSA will take this into account when assessing whether the firm has ensured that the employee has satisfied the knowledge component of the competent employees rule for those common platform and non platform firms (SYSC 3.1.10 G & SYSC 5.1.5A G). To access the recommended exam list, please click here.How to use the Appropriate Exams ListTo use the list, click on the category below that describes the activity you are undertaking. This will list all the appropriate exams for that activity. Then click on the Key to find out if the exam covers the complete requirement or if you need further exams, eg, if an exam falls under Key 2 you will need to take an exam from Key 3 as well.You might also find that an exam covers more than one Key, eg, CeFA paper 1 or FPC paper 1 might cover both Key 4 and Key 5. You can also do a search by exam, awarding body, etc.This list contains those examinations that are designated by the Skills Council as 'appropriate' examinations as from 1 July 2004. The Skills Council is beginning to publish Standards for Appropriate Examinations. As these Standards are published, awarding bodies will bring forward proposals for appropriate examinations that meet the Standards. When these proposals are accepted, the new examinations will be added to the List, which will continue to be updated as the Examination Review goes forward.
Body ACI Analyst Association of Japan Association of Accounting Technicians Association of Belgian Financial Analyst... Association of Chartered Certified Accou... Association of Corporate Treasurers Association of Japan Canadian Securities Institute CFA Institute CFA Society of UK (Formerly United Kingd... Chartered Association of Certified Accou... Chartered Institute of Bankers in Irelan... Chartered Institute of Bankers in Scotla... Chartered Institute of Management Accoun... Chartered Institute of Public Finance an... Chartered Insurance Institute EFFAS Societies with accredited examinat... Faculty or Institute of Actuaries Financial Industry Regulatory Authority ... French Society of Investment Analysts ICMA Centre /University of Reading (Form... ifs School of Finance (Formerly the Char... Institute of Bankers in Ireland Institute of Chartered Accountants in En... Institute of Chartered Accountants in Ir... Institute of Chartered Accountants in Sc... Institute of Chartered Secretaries and A... Investment Management Association Irish Stock Exchange/Dublin City Univers... Italian Exchange Japanese Bankers Association Japanese Banking Association Japanese Securities Dealers Association Johannesburg Stock Exchange Korea Securities Training Institute Kuala Lumpur Stock Exchange Law Society of England and Wales Law Society of England and Wales/Law Soc... Lloyd's Lloyd's/Chartered Insurance Institute LLoyd's/Chartered Insurance Institute London Stock Exchange National Futures Association New Zealand Stock Exchange NIBE SVV the Dutch Institute for the B... Norwegian Society of Financial Analysts Pensions Management Institute Securities & Investment Institute (Forme... Securities Analysts' Association of Japa... Securities Institute of Australia Securities Institute/South African Insti... Singapore Exchange Singapore Institute of Banking and Finan... Society of Investment Analysts in Irelan... South African Institute of Financial Mar... Sydney Futures Exchange The Analyst Association of Japan The Association of Certified Internation... The French Society of Investment Analyst... The Securities Association The Swiss Stock Exchange
Country UK Overseas
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