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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 anyone seeking to give retail investment advice, in particular those who do not hold additional CII credits counting towards completion of the Diploma in Financial Planning.

One of the following CII qualifications, or equivalent, must be held to complete the Diploma: 

  • Certificate in Financial Services (General route) 
  • Certificate in Financial Services (Life and pensions route) 
  • Certificate in Regulated Financial Services Operations 
  • Withdrawn Certificate in Financial Planning

The Diploma comprises six compulsory units, providing 100 CII credits (at Diploma or Certificate level depending on unit) 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.

 

Select units to complete this qualification

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Compulsory Units:

    UK

Optional Units:

  • Optional units are not available.