FSA Qualifications


R

rjb

I have to take two FSA exams to qualify as a broker for the firm I am
going to work for as a CFD Advisory Broker.

1. The Securities exam
2. The Regulatory exam

If anybody has taken these in the past, could you please post with
where and how I should take these?

Also, if you know where I can see any past papers and get hold of any
second hand text (or relevant) books that would be great.

Regards

Matt
 
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R

Rob Graham

Surely the guy in charge of compliance at your firm should be able to tell
you this.

Rob Graham
 
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M

Mark Seaman

I have to take two FSA exams to qualify as a broker for the firm I am
going to work for as a CFD Advisory Broker.

1. The Securities exam
2. The Regulatory exam

If anybody has taken these in the past, could you please post with
where and how I should take these?

Also, if you know where I can see any past papers and get hold of any
second hand text (or relevant) books that would be great.
Sounds like the securities institute IAQ exams. usually 3 are needed,
these being Introduction to Securities and Investment, FSA regulatory
environment and one other work related. See their website
www.securities-institute.org.uk
 

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