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Level 4

Overview

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Diploma in Financial Planning

The Level 4 Diploma in Financial Planning develops core technical understanding across a broad range of key financial planning areas. It also meets the FCA’s qualification requirements for advising on retail investment products, subject to additional gap fill. For more information, visit cii.co.uk/gapfill

Qualification details

The Diploma in Financial Planning is suitable for paraplanners and technical consultants. It is also suitable for those supporting financial planning processes, in particular those who already hold CII credits that count towards completion (otherwise, the Diploma in Regulated Financial Planning is more suitable).

To complete the Diploma in Financial Planning you must already hold one of the following CII qualifications, or equivalent: Certificate in Financial Services, Certificate in Regulated Financial Services Operations, or the withdrawn Certificate in Financial Planning.

The Diploma in Financial Planning comprises option units from across the Personal Finance qualifications framework. A minimum of 140 CII credits must be obtained for successful completion. These credits can be used towards further CII qualifications.

At least 80 CII credits must be at Diploma level, this includes the nine units listed below and units R01-R04 and R06 from the Diploma in Regulated Financial Planning. One Advanced Diploma in Financial Planning unit can count towards this requirement.

The remaining credits can come from any units within the Personal Finance qualifications framework, subject to a maximum of 30 CII credits at Advanced Diploma level.

Select from the following core units to achieve 140 CII Credits at Diploma level:

  • Trusts (J02) – 20 CII credits
  • The Tax and Legal Aspects of Business (J03) - 20 CII credits
  • Pension Income Options (J05) - 20 CII credits
  • Supervision in a Regulated Environment (J07) - 20 CII credits
  • Paraplanning (J09) - 30 CII credits
  • Discretionary Investment Management (J10) - 20 CII credits
  • Wrap and Platform Services (J11) - 20 CII credits
  • Securities Advice and Dealing (J12) - 20 CII credits
  • Advanced Mortgage Advice (R07) - 15 CII credits

Important note – AF2/J03 will be withdrawn after the 2020-2021 syllabus, with the final assessment opportunity in the Q2 2021 exam session.

Any credits already achieved from these units will continue to count towards the completion requirements of the Diploma in Financial Planning and the Advanced Diploma in Financial Planning after the unit’s withdrawal.

For units in this qualification, students typically have access to the following materials as part of their enrolment:

  • Study text (printed and/or digital) with digital updates
  • RevisionMate online study support, including end of chapter tests
  • Exam guide containing a practice exam and guidance
  • Assessment entry

 Additional or different resources may be available for some units.

Select units to complete this qualification

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Compulsory Units:

  • Compulsory units are not available.

Optional Units:

    UK