full list of sii qualifications

All modules listed are available to be taken as stand alone CPD modules to meet your individual CPD
needs.

SII Diploma The Institute’s senior practitioner qualification. Any 3 modules achieves The Securities & Investment Institute strives to
the Diploma. “set standards of professional excellence and integrity
• Bond and Fixed Interest Markets
• Financial Derivatives for the securities and investment industry, providing
• Fund Management qualifications and promoting the highest level of competence
3 hour written • Global Operations Management
• Interpretation of Financial Statements
to our members, other individuals and firms”.
examination papers
• Investment Analysis
• Management Studies
• Private Client Investment Advice & Management
• Regulation and Compliance

Diploma in A senior level qualification for specialists in compliance.

Investment • Introduction to Investment
ACCA (The Association of Chartered Certified Accountants) is
Compliance

Diploma in
•
•
Principles of Financial Regulation
Regulation and Compliance

A senior level qualification for specialists in operations.

committed to supporting the life long development needs of
members, affiliates and students. Increasingly, all accountants are
qualifications
Investment • Global Operations Management completing CPD on a regular basis. It is therefore essential that
Operations •
•
•
Advanced Operational Risk
Advanced Investment Schemes
Advanced Global Securities Operations
ACCA members have access to quality CPD opportunities that
ensure they develop the knowledge and skills needed to succeed
NAVIGATOR
(It is also possible to achieve this award by completing a variety of
Advanced Certificates - see website)
in today’s dynamic business environment. Through our innovative
approach to development, we are continually reviewing and
Advanced Certificate A qualification for those with roles requiring an understanding of
in Operational Risk operational risk.
extending our CPD offering by forging partnerships and
• Operational Risk associations with other leading learning and development experts
• Advanced Operational Risk and professional bodies.
SII Certificates Suite SII benchmark qualifications for advising/dealing/managing
investments. A Regulatory module and any one of the following technical
units achieves a given certificate.
• Securities
• Derivatives
• Securities & Financial Derivatives
• Investment Management
Regulatory modules:
• Principles of Financial Regulation
• Financial Regulation

Investment Market established benchmark qualification for operations and

Administration administration staff.
Qualification (IAQTM) Introduction to Investment + Regulatory Paper + an appropriate
technical module from the following:
• Asset Servicing
• Collective Investment Schemes Administration
• CREST Settlement
1 hour multiple choice • Exchange-Traded Derivatives Administration
examination. 3 units • Global Securities Operations
achieves qualification • ISA & PEP Administration
• Operational Risk
• OTC Derivatives Administration
• Private Client Administration

Introduction SII stand-alone induction qualification.

to Investment Award

International Benchmark global retail financial advice qualification.

Certificate in
Financial Advice

Islamic Finance Global benchmark qualification in Islamic Finance and Banking.

Qualification

(Note: Some exemptions may be available for ACCA members seeking full SII qualifications).
Professionalism • Integrity • Excellence
Centurion House, 24 Monument Street, London EC3R 8AQ
Any modules can be selected as stand alone CPD modules irrespective of the particular SII
qualification to which they relate.
Tel: +44 (0)20 7645 0600 Fax: +44 (0)20 7645 0601 www.sii.org.uk
Website: sii.org.uk
 M IVE ING
BE FOR
RS
CA A IN Securities & Investment Institute how to get started
EM D
AC E W I JO

QUALIFICATIONS for Acca Members

FE SI

You can access the SII modules from the ACCA website, or directly from the SII website. Where ACCA members are undertaking a full SII qualification, the SII registration requirements apply (see
list overleaf). Where ACCA members are undertaking individual stand-alone modules only, and not a full SII qualification, there is no need to complete the SII Qualification Registration Form.

The Securities & Investment Institute (SII) is the Introductory Offers to ACCA Members
professional body for the securities and investment
industry and is of particular interest to ACCA members Many ACCA members will want to use the specialist technical modules set out below for their CPD purposes. In addition there are 3 modules for which SII will make a special introductory
working either in the financial services sector or with offer for 12 months from September 1st 2006: These are the Introduction to Investment (the foundation for all those new to the financial services sector) and also FSA Regulatory Environment,
financial services clients. or Principles of Financial Regulation, both of which provide specific knowledge on FSA Regulations. FSA Regulatory Environment includes specific detail for those dealing with private or
retail customers. All of these are tested by 1 hour Computer Based Testing, available globally, with workbooks and elearning. The price will be £150 per module to include the examination
SII and ACCA have agreed to work together to provide CPD registration fee, workbook and elearning unit, a saving of up to £45 per unit.
opportunities for ACCA members using SII qualifications.
ACCA approves and accredits SII qualifications as relevant
JOB/ SII QUALIFICATIONS AND METHOD OF WORKBOOKS ELEARNING
sources of CPD for its members. SECTOR MODULES FOR ACCA CPD ASSESSMENT AVAILABLE * FROM SII (2)
(Normally £75 for all SII hard copy (£35 per module
Many roles in financial services require individuals to have workbooks. ATPs also offer workbooks) for SII elearning)
in-depth understanding of the industry and the
underpinning regulation. The qualifications listed in the Individual Wealth Management Diploma Private Client Inv. Adv. & Management paper 3 hour written paper available twice yearly
table opposite help satisfy this requirement and increase
financial product understanding. Discretionary Portfolio Management Certificate in Investment Management (CertIM)
Module 1: 1 hour CBT paper

...
Module 2: 2 hour CBT paper

All SII qualifications are accredited by the UK Qualifications
Retail Financial Advice (International) International Certificate in Financial Advice
2 hour CBT paper available globally.

and Curriculum Authority and appear on the approved list Also available in Chinese
published by the Financial Services Skills Council (FSSC).
Risk Advanced Certificate In Operational Risk (ACOR)

...
For further details check the Appropriate Examination list
issued by the FSSC [visit www.fssc.org.uk].

International recognition for SII qualifications includes

Singapore (Monetary Authority of Singapore), Hong Kong,
Australia and several countries in the Middle East.

In addition, ACCA members and affiliates are eligible to

apply for automatic membership of the SII. ACCA members
Internal Audit

Risk Analysis

Credit Risk Analyst

Investment Operations
Advanced Certificate In Operational Risk (ACOR)

Advanced Certificate In Operational Risk (ACOR)

Advanced Certificate In Operational Risk (ACOR)

Diploma in Investment Operations (DIO)

} Module 1: 1 hour CBT paper

Module 2: 3 hour written paper

available 3 times a
year

Normally 3 hour written papers, 3 modules

(1)


will be admitted as full SII Members (MSI) and ACCA
affiliates admitted as Associate members (ASI). Both
members and affiliates are exempt from paying the initial
SII membership registration fee and need only pay a small
annual subscription to gain access to SII’s wealth of
member benefits.
Settlements & Transactions

Custody & Operations

Investment Accounting

Funds
Investment Administration Qualification (IAQTM)

Investment Administration Qualification (IAQTM)

Investment Administration Qualification (IAQTM)

Diploma Fund Management paper

} 1 hour CBT paper

Available on demand globally

(1)

...

Fees for 1st April 2006 to 31st March 2007 are £135 for
MSIs and £95 for ASIs*.

Membership benefits include:

•
Use of designatory letters

Use of SII CPD scheme as part of members’ Continuing

Portfolio Manager

Fund Accountant

Fund Analyst

Broker / Dealer
Diploma Fund Management paper

Diploma Fund Management paper

Diploma Fund Management paper

SII Certificates Suite

} 3 hour written paper

Available twice yearly

(1)

(1)

(1)

•
Professional Development

Free participation in UK CPD events and online access

to webcasts

Online archive of slides and transcripts of previous

events

Discounts on UK conferences and training courses

Head of Desk

Proprietary Trader

Product Control

Compliance
SII Certificates Suite

SII Certificates Suite

SII Certificates Suite

Diploma in Investment Compliance

} Normally 2 hour CBT papers

for technical subjects

Available on demand globally

.

...

...

...

•

•
Securities & Investment Review - monthly magazine (10
issues per year)

Regulatory Refresher

Regulatory Update

Infolink - online information resource library

To become a Member visit www.sii.org.uk/acca and

complete an application form.
Compliance Manager

Regulatory Manager

Compliance & Internal Control Officer

Islamic Finance
Diploma Reg. & Comp. paper/ Diploma. Inv. Comp.

Diploma Reg. & Comp. paper/ Diploma Inv. Comp.

Diploma Reg. & Comp. paper/ Diploma Inv. Comp.

Islamic Finance Qualification (from Mar 2007)

} First 2 modules: 1 hour CBT

Dip. Reg. & Comp.

papers

paper: 3 hour exam

2 hour CBT paper

* SII workbooks are issued in pdf format for international candidates. For international prices see the SII website at www.sii.org.uk
Global Presence
Sitting Exams outside the UK

Note 1: SII workbooks are not available, but workbooks from SII Accredited Training Providers eg, BPP or 7City are available.
See details on our website at www.sii.org.uk
Learning Resources
Training
Accreditation
Accredited Training Providers
* International prices apply for all grades of membership. Note 2: SII Accredited Training Providers also offer elearning packages globally; they also offer direct classroom training within the UK and some international locations.

08/06
 M IVE ING
BE FOR
RS
CA A IN Securities & Investment Institute how to get started
EM D
AC E W I JO

QUALIFICATIONS for Acca Members

FE SI

You can access the SII modules from the ACCA website, or directly from the SII website. Where ACCA members are undertaking a full SII qualification, the SII registration requirements apply (see
list overleaf). Where ACCA members are undertaking individual stand-alone modules only, and not a full SII qualification, there is no need to complete the SII Qualification Registration Form.

The Securities & Investment Institute (SII) is the Introductory Offers to ACCA Members
professional body for the securities and investment
industry and is of particular interest to ACCA members Many ACCA members will want to use the specialist technical modules set out below for their CPD purposes. In addition there are 3 modules for which SII will make a special introductory
working either in the financial services sector or with offer for 12 months from September 1st 2006: These are the Introduction to Investment (the foundation for all those new to the financial services sector) and also FSA Regulatory Environment,
financial services clients. or Principles of Financial Regulation, both of which provide specific knowledge on FSA Regulations. FSA Regulatory Environment includes specific detail for those dealing with private or
retail customers. All of these are tested by 1 hour Computer Based Testing, available globally, with workbooks and elearning. The price will be £150 per module to include the examination
SII and ACCA have agreed to work together to provide CPD registration fee, workbook and elearning unit, a saving of up to £45 per unit.
opportunities for ACCA members using SII qualifications.
ACCA approves and accredits SII qualifications as relevant
JOB/ SII QUALIFICATIONS AND METHOD OF WORKBOOKS ELEARNING
sources of CPD for its members. SECTOR MODULES FOR ACCA CPD ASSESSMENT AVAILABLE * FROM SII (2)
(Normally £75 for all SII hard copy (£35 per module
Many roles in financial services require individuals to have workbooks. ATPs also offer workbooks) for SII elearning)
in-depth understanding of the industry and the
underpinning regulation. The qualifications listed in the Individual Wealth Management Diploma Private Client Inv. Adv. & Management paper 3 hour written paper available twice yearly
table opposite help satisfy this requirement and increase
financial product understanding. Discretionary Portfolio Management Certificate in Investment Management (CertIM)
Module 1: 1 hour CBT paper

...
Module 2: 2 hour CBT paper

All SII qualifications are accredited by the UK Qualifications
Retail Financial Advice (International) International Certificate in Financial Advice
2 hour CBT paper available globally.

and Curriculum Authority and appear on the approved list Also available in Chinese
published by the Financial Services Skills Council (FSSC).
Risk Advanced Certificate In Operational Risk (ACOR)

...
For further details check the Appropriate Examination list
issued by the FSSC [visit www.fssc.org.uk].

International recognition for SII qualifications includes

Singapore (Monetary Authority of Singapore), Hong Kong,
Australia and several countries in the Middle East.

In addition, ACCA members and affiliates are eligible to

apply for automatic membership of the SII. ACCA members
Internal Audit

Risk Analysis

Credit Risk Analyst

Investment Operations
Advanced Certificate In Operational Risk (ACOR)

Advanced Certificate In Operational Risk (ACOR)

Advanced Certificate In Operational Risk (ACOR)

Diploma in Investment Operations (DIO)

} Module 1: 1 hour CBT paper

Module 2: 3 hour written paper

available 3 times a
year

Normally 3 hour written papers, 3 modules

(1)


will be admitted as full SII Members (MSI) and ACCA
affiliates admitted as Associate members (ASI). Both
members and affiliates are exempt from paying the initial
SII membership registration fee and need only pay a small
annual subscription to gain access to SII’s wealth of
member benefits.
Settlements & Transactions

Custody & Operations

Investment Accounting

Funds
Investment Administration Qualification (IAQTM)

Investment Administration Qualification (IAQTM)

Investment Administration Qualification (IAQTM)

Diploma Fund Management paper

} 1 hour CBT paper

Available on demand globally

(1)

...

Fees for 1st April 2006 to 31st March 2007 are £135 for
MSIs and £95 for ASIs*.

Membership benefits include:

•
Use of designatory letters

Use of SII CPD scheme as part of members’ Continuing

Portfolio Manager

Fund Accountant

Fund Analyst

Broker / Dealer
Diploma Fund Management paper

Diploma Fund Management paper

Diploma Fund Management paper

SII Certificates Suite

} 3 hour written paper

Available twice yearly

(1)

(1)

(1)

•
Professional Development

Free participation in UK CPD events and online access

to webcasts

Online archive of slides and transcripts of previous

events

Discounts on UK conferences and training courses

Head of Desk

Proprietary Trader

Product Control

Compliance
SII Certificates Suite

SII Certificates Suite

SII Certificates Suite

Diploma in Investment Compliance

} Normally 2 hour CBT papers

for technical subjects

Available on demand globally

.

...

...

...

•

•
Securities & Investment Review - monthly magazine (10
issues per year)

Regulatory Refresher

Regulatory Update

Infolink - online information resource library

To become a Member visit www.sii.org.uk/acca and

complete an application form.
Compliance Manager

Regulatory Manager

Compliance & Internal Control Officer

Islamic Finance
Diploma Reg. & Comp. paper/ Diploma. Inv. Comp.

Diploma Reg. & Comp. paper/ Diploma Inv. Comp.

Diploma Reg. & Comp. paper/ Diploma Inv. Comp.

Islamic Finance Qualification (from Mar 2007)

} First 2 modules: 1 hour CBT

Dip. Reg. & Comp.

papers

paper: 3 hour exam

2 hour CBT paper

* SII workbooks are issued in pdf format for international candidates. For international prices see the SII website at www.sii.org.uk
Global Presence
Sitting Exams outside the UK

Note 1: SII workbooks are not available, but workbooks from SII Accredited Training Providers eg, BPP or 7City are available.
See details on our website at www.sii.org.uk
Learning Resources
Training
Accreditation
Accredited Training Providers
* International prices apply for all grades of membership. Note 2: SII Accredited Training Providers also offer elearning packages globally; they also offer direct classroom training within the UK and some international locations.

08/06
 full list of sii qualifications
All modules listed are available to be taken as stand alone CPD modules to meet your individual CPD
needs.

SII Diploma The Institute’s senior practitioner qualification. Any 3 modules achieves The Securities & Investment Institute strives to
the Diploma. “set standards of professional excellence and integrity
• Bond and Fixed Interest Markets
• Financial Derivatives for the securities and investment industry, providing
• Fund Management qualifications and promoting the highest level of competence
3 hour written • Global Operations Management
• Interpretation of Financial Statements
to our members, other individuals and firms”.
examination papers
• Investment Analysis
• Management Studies
• Private Client Investment Advice & Management
• Regulation and Compliance

Diploma in A senior level qualification for specialists in compliance.

Investment • Introduction to Investment
ACCA (The Association of Chartered Certified Accountants) is
Compliance

Diploma in
•
•
Principles of Financial Regulation
Regulation and Compliance

A senior level qualification for specialists in operations.

committed to supporting the life long development needs of
members, affiliates and students. Increasingly, all accountants are
qualifications
Investment • Global Operations Management completing CPD on a regular basis. It is therefore essential that
Operations •
•
•
Advanced Operational Risk
Advanced Investment Schemes
Advanced Global Securities Operations
ACCA members have access to quality CPD opportunities that
ensure they develop the knowledge and skills needed to succeed
NAVIGATOR
(It is also possible to achieve this award by completing a variety of
Advanced Certificates - see website)
in today’s dynamic business environment. Through our innovative
approach to development, we are continually reviewing and
Advanced Certificate A qualification for those with roles requiring an understanding of
in Operational Risk operational risk.
extending our CPD offering by forging partnerships and
• Operational Risk associations with other leading learning and development experts
• Advanced Operational Risk and professional bodies.
SII Certificates Suite SII benchmark qualifications for advising/dealing/managing
investments. A Regulatory module and any one of the following technical
units achieves a given certificate.
• Securities
• Derivatives
• Securities & Financial Derivatives
• Investment Management
Regulatory modules:
• Principles of Financial Regulation
• Financial Regulation

Investment Market established benchmark qualification for operations and

Administration administration staff.
Qualification (IAQTM) Introduction to Investment + Regulatory Paper + an appropriate
technical module from the following:
• Asset Servicing
• Collective Investment Schemes Administration
• CREST Settlement
1 hour multiple choice • Exchange-Traded Derivatives Administration
examination. 3 units • Global Securities Operations
achieves qualification • ISA & PEP Administration
• Operational Risk
• OTC Derivatives Administration
• Private Client Administration

Introduction SII stand-alone induction qualification.

to Investment Award

International Benchmark global retail financial advice qualification.

Certificate in
Financial Advice

Islamic Finance Global benchmark qualification in Islamic Finance and Banking.

Qualification

(Note: Some exemptions may be available for ACCA members seeking full SII qualifications).
Professionalism • Integrity • Excellence
Centurion House, 24 Monument Street, London EC3R 8AQ
Any modules can be selected as stand alone CPD modules irrespective of the particular SII
qualification to which they relate.
Tel: +44 (0)20 7645 0600 Fax: +44 (0)20 7645 0601 www.sii.org.uk
Website: sii.org.uk