Level 4

Overview

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Diploma in Regulated Financial Planning

The level 4 Diploma in Regulated Financial Planning meets the FCA’s qualification requirements for retail investment advisers and helps candidates to develop core technical knowledge and financial planning capabilities. Candidates will develop technical knowledge and application within the specific topics and understand the integrated practical application of these technical knowledge and planning skills.

Qualification details

The Diploma in Regulated Financial Planning is appropriate for paraplanners, technical consultants and those in financial planning support roles.

It is particularly appropriate for:

  • Those seeking to give retail investment advice
  • Those seeking progression from the Certificate in Financial Services, in particular those who do not hold additional CII credits counting towards completion of the Diploma in Financial Planning

The Diploma comprises six core units, providing 100 CII credits on successful completion. These credits can be used towards further CII qualifications.  

  • Financial Services, Regulation and Ethics (R01) – 20 CII credits.
  • Investment Principles and Risk (R02) – 20 CII credits. 
  • Personal Taxation (R03) – 10 CII credits. 
  • Pensions and Retirement Planning (R04) – 10 CII credits. 
  • Financial Protection (R05)  10 CII credits. 
  • Financial Planning Practice (R06) – 30 CII credits. 

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.

The Diploma in Regulated Financial Planning comprises six core units, providing 100 credits on successful completion. Whilst many learners choose to take the units in numerical order, it is not necessary to do so, and they can be approached in whatever way suits the individual. However, for guidance purposes only, we outline a suggested route as follows.

R05 is a good starting point, particularly as this is a level 3 unit (the rest of the R0s are level 4) so is considered the least difficult.

R01 would be a good next step as this can be a prerequisite of some roles, particularly supervisory, and it is the basis for other qualifications.

As R02, R03 and R04 specifically address different areas of financial advice, the order in which these in taken would depend on the learner’s own knowledge and experience with them being taken in order of relevance to that individual.

As R06 tests the practical application of technical knowledge and planning skills already gained from units R01-R05, it would be helpful to take this unit last once the foundational knowledge has been established.

Select units to complete this qualification

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Compulsory Units:

    UK

Optional Units:

  • Optional units are not available.