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The Level 4 Diploma in Financial Advice (DipFA®) is the industry benchmark qualification, providing individuals with the appropriate qualification to become a financial adviser. DipFA gives candidates the professional qualification and the knowledge to enter the industry, whether as an employed or self employed adviser.
Regency Training breaks down course content material, simplifying the learning process for candidates. Our workshop includes full presentation material, mock exams, your own revision booklet and email support to increase your chances of success!
FSRE - Financial Services Regulation & Ethics: This is Unit 1 of the DipFA qualification. The module helps candidates understand how financial markets work in terms of regulation and ethics.
- Exam: The exam is assessed as a 2 hour multiple choice exam. The test consists of 100 questions and the pass mark is 70%.
What you will get from our workshop:
- Online 2 day workshop delivered by an industry professional tutor (9-5pm with breaks in between)
- Mock exam
- Revision booklet summarising the textbook material (covers all topics in the textbook)
- Access to your professional tutor during and after the workshop
How is it taught:
- Professional tutor will break down each topic and focus on more complex problematic areas
- Extra learning materials available to take away
- Discuss exam technique and which areas carry the most marks
- Answer questions and fill any gaps in your knowledge
Some of the topics that will be covered include:
- Protection / Savings / Investment products
- Retirement and Estate Planning
- UK and International Regulation
- Wills, Intestacy and Trusts
- Managing & Understanding Risk
- Ethical Behaviour
The DipFA qualification is accredited by the LIBF and they provide the knowledge, skills and qualifications for people to flourish in today’s financial world. DipFA is specific to the UK and meets the regulatory standards set by the Financial Conduct Authority (FCA). Once you have completed the DipFA qualification (or an alternative FCA approved QCF Level 4 equivalent) you will legally be able to offer your professional financial advice services.
DipFA Assessment Breakdown:
Unit 1 - Financial Services Regulation & Ethics (FSRE) - 2 Hour Multiple Choice Exam
Unit 2 - Advanced Financial Advice (AFA) - Coursework & Written Exam
DipFA is recognised by employers in the finance industry including banks, wealth management firms and building societies, it is a mark of excellence and meets FCA examination standards for providing financial advice.
Who is this course for?
The Level 4 Diploma is a minimum requirement for anyone who would like to provide financial advice.
Please note: this workshop is only for Unit 1 - FSRE of the DipFA. Unit 2 is a seperate module and consists of coursework and a written exam. Both Units 1 & 2 would need to be completed to achieve the full Level 4 DipFA qualification.
There are no entry requirements to enroll in this course. You would have to enroll through the LIBF website.
Some of the jobs available upon achieving the Level 4 Diploma are:
- Financial Adviser
- Financial Administration
- Contracting careers in the financial services sector
Financial Advisers in the UK start off on a minimum of £30,000 and can earn in excess of £100,000.
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