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AWARDING BODY

QUALIFICATION

EXEMPTION AGAINST

RESTRICTIONS

Securities & Investment Institute
(SII)

Certificate in Securities

IMC Unit 1: UK Regulations and Markets

Passed from 1 June 2004 and before 19 November 2007
Copy of certificate required

No qualifications passed more than 5 years before the exemption request may be considered against IMC Unit 1

Certificate in Securities and Financial Derivatives

Certificate in Securities - Retail

IMC Unit 1: UK Regulations and Markets

Passed from 19 November 2007
Copy of certificate required

Certificate in Securities and Financial Derivatives - Retail

ifs School of Finance
(IFS)

Certificate for Financial Advisors (CeFA)

IMC Unit 1: UK Regulations and Markets

Passed from 1 November 2004
Copy of certificate required

Chartered Insurance Institute
(CII)

Certificate in Financial Planning

IMC Unit 1: UK Regulations and Markets

Passed from 1 June 2004
Copy of certificate required

Financial Planning Certificate + either CF2 Investment and Risk or SV1 Savings and investments

IMC Unit 1: UK Regulations and Markets

Combination completed within 5 years of the exemption request

Chartered Institute of Bankers in Scotland
(CIOBS)

Certificate in Investment Planning

IMC Unit 1: UK Regulations and Markets

Passed from 17 September 2004
Copy of certificate required

Chartered Financial Analyst Institute
(CFA)

Chartered Financial Analyst
(CFA) Level I

IMC Unit 2: Investment Practice

Not available in combination with Unit 1 exemption