How you’d get this certificate
- Zavmo teaches you. You learn the units one-to-one with an AI tutor, on your own work.
- You register with an approved centre. That is a college, training provider or employer Chartered Insurance Institute has approved to offer this qualification. Zavmo is not an approved centre, so you register with them, not with us.
- The centre assesses, and Chartered Insurance Institute awards. A qualified assessor at the centre judges your evidence, and the certificate comes from Chartered Insurance Institute.
The Certificate in Securities Advice and Dealing is relevant to anyone seeking to advise on and/or deal in securities, and for those working in a support role who want to further demonstrate their knowledge of this sector. Four core units; R01, R02, R03, J12.
These are the units Chartered Insurance Institute registers against this qualification. It is a catalogue, not a syllabus. Which of them you take depends on the combination the qualification requires, and that is set by the awarding body rather than by us. Every unit here is regulated. Zavmo teaches towards them on your own work, and work done here is recognised as prior learning under the agreements we hold.
Zavmo is not an awarding body, is not an approved centre, and is not affiliated with Chartered Insurance Institute. It does the teaching and the mapping. Chartered Insurance Institute sets this qualification and awards it, and a qualified human assessor makes the assessment decision.
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The free part is a Future Fluency lesson on using AI at work. It is not part of this qualification. Next, a free account. We build your plan for this qualification as you set up. Teaching towards this qualification begins when you subscribe.
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What each unit actually teaches you to do
Financial services, regulation and ethics Real unit · Chartered Insurance Institute
What you'll be able to do
- Understand the UK financial services industry in its European and global context.
- Understand how the retail consumer is served by the financial services industry.
- Understand legal concepts and considerations relevant to financial advice.
- Understand the regulation of financial services.
- Understand the financial regulators' responsibilities and approach to regulation.
- Apply the principles and rules as set out in the regulatory framework.
- Apply the regulatory advice framework in practice for the consumer.
- Understand the range of skills required when advising clients.
- Understand the financial regulators' use of principles and outcomes based regulation to promote ethical and fair outcomes.
- Apply the Code of Ethics and professional standards to business behaviours of individuals.
- Critically evaluate the outcomes that distinguish between ethical and compliance driven behaviours.
Investment principles and risk Real unit · Chartered Insurance Institute
What you'll be able to do
- Analyse the characteristics, inherent risks, behaviour and correlation of asset classes.
- Understand the macro-economic environment and its impact on asset classes.
- Understand the merits and limitations of the main investment theories.
- Apply the principles of the time value of money.
- Analyse and explain the nature and impact of the main types of risk on investment performance.
- Analyse the characteristics, inherent risks, behaviours and relevant tax considerations of investment products.
- Apply the investment advice process.
- Understand the principles of investment planning.
- Analyse the performance of investments.
Personal taxation Real unit · Chartered Insurance Institute
What you'll be able to do
- Understand the UK tax system as relevant to the needs and circumstances of individuals and trusts.
- Analyse the taxation of investments as relevant to the needs and circumstances of individuals and trusts.
- Analyse the role and relevance of tax in the financial affairs of individuals and trusts.
- Apply the knowledge of personal taxation to the provision of investment advice.
Securities advice and dealing Real unit · Chartered Insurance Institute
What you'll be able to do
- Analyse the characteristics, features, behaviours and risks of securities and equities in the context of the market for these products.
- Understand the structure, features, and regulatory and trading environment of the securities market.
- Apply dealing principles and practice relevant to client investment activity.
- Understand clearing, settlement and custody principles and practice relevant to client investment activity.
- Assess the factors that influence market behaviour relevant to investment advice.
- Apply the relevant factors and considerations to decide and implement appropriate investment recommendations.
The national standards these units are built against
What the job actually needs, in the words employers and awarding bodies already use for the work itself.
- Standard
Develop awareness of the tax environment within which specific investments and investors operate
The jobs these credits are mapped to
A qualification is never a dead end here. Each of these is a job record this qualification is a mapped route into.
- 2 records
- 1 record
- 1 record
- 1 record
- 1 record
- 1 record
Showing 6 roles, drawn from 22 job records mapped to this qualification. Near-identical records are folded together, and each row says how many it stands for.
Where this can lead
Brokerage Manager
This role builds a foundation in compliance and brokerage operations. It can lead to running a branch, overseeing compliance for a region, or heading up operations in wealth management.
See the whole journeyThe credits, and who awards them
Level 4 credits are regulated, and they are awarded by Chartered Insurance Institute rather than by Zavmo. They don’t vanish when a subscription ends or a website closes. They travel to any employer, and Zavmo keeps the map of what you have covered and what is next.
What you would be collecting
Financial services, regulation and ethicsInvestment principles and riskPersonal taxationSecurities advice and dealing
Each one is a real unit registered against this qualification.
How you’d practise it
You don’t watch this. You do it.
You are not assessed on remembering this. You are assessed on applying it, analysing it, evaluating it and producing something. So that is what the practice is: projects, role play and your own live cases, with a tutor in the room.
The Practical Builder · your make-it-real tutor Illustration - Draft the real one Create
You do “Financial services, regulation and ethics” on a real document of your own. Zavmo works on the draft you have to send anyway, so the coursework and the job are the same piece of work.
How you would learn this
One to one, on the work you already do
A tutor sets the task against your own job and marks the reasoning, at your pace. There is no cohort to fall behind.
A lesson from Financial services, regulation and ethics, one of this qualification's own units.
Applied to your work in any of these jobs
This unit offers learners an understanding of the UK financial services industry, its regulation, and ethical considerations. Learners will explore the industry's structure, consumer service, legal concepts, and regulatory frameworks relevant to providing compliant financial advice.
- 1 Remember
- 2 Understand
- 3 Apply
- 4 Analyse
- 5 Evaluate
- 6 Create
It is £70 a month, billed monthly. Your free first module is Future Fluency, and you can cancel any time. Teaching towards this qualification begins when you subscribe.
Built for CII Level 4 Certificate in Securities Advice and Dealing
4 units in this credential, in the order it lists them, awarded by Chartered Insurance Institute.
- Financial services, regulation and ethics
- Investment principles and risk
- Personal taxation
- Securities advice and dealing
Free tools
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Three free tools, no account needed. Each one ends with a role, a level and a way in.
Learned on your own work, taught one-to-one.
Everything you just read, learned one-to-one on the job you already do. Your free first module is Future Fluency, so you can see how the teaching works before you pay for anything.
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The title, level, credits, guided learning hours and unit learning outcomes on this page are taken from the Ofqual Register of Regulated Qualifications. Contains public sector information licensed under the Open Government Licence v3.0. Where this data comes from.