About Us

PCIAM Exam Support

Course Code:
Dates:	On a date of your choice
Venue:	To suit your business
Course Fees:	Available on application
CPD Credits:	48

“May I also take the opportunity to stress that we will take forward all our major policy initiatives within the new structure. We will not be deflected from delivering much needed policy reforms such as the retail distribution review. Furthermore, firms should recognise that our intensive supervisory approach will continue into the new organisational framework.”

Hector Sants, Chief Executive, FSA

(Annual Public Meeting 24^th June 2010)

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Course Outline

Forming part of the SII Diploma, the Private Client Investment Advice & Management Certificate has been evaluated at QCA Level 6 as a standalone qualification. This means it is one of the most efficient ways to reach the required RDR professional qualification standard.

This structured 2 part course, with easy to understand learning material, provides essential support if you are studying by using an outline syllabus and a suggested reading list.

Led by a qualified and highly experienced tutor you will be able to clarify problem areas, practice questions with constructive feedback and take a mock examination. Group sizes are kept deliberately small to promote debate and ensure a full understanding of key topics.

How You Will Benefit

Attending this course will enable you to:
• Build a structured revision plan
• Brush up on exam techniques
• Learn how to answer the questions in the way the examiner is looking for
• Practice past questions and receive feedback
• Discuss and clarify your understanding with industry colleagues and regulatory qualified learning and development specialists
• Receive the extra detail and content you need in order to pass this higher level qualification
• Sit a full mock paper under exam conditions and receive feedback once it has been marked
• Understand the calculations required and how to apply them.

Who Should Attend?

Those studying for the full SII Diploma for whom this certificate is an essential element.

Existing practitioners in Private Client Investment who need to attain the new, higher qualification standard and want to put themselves in the best position to pass first time.

Training Approach

The course is broken down into 2 elements: a 3 day Introduction and 5 days of Revision. The course will be a combination of trainer input and knowledge sharing, with interactive syndicate work case studies and practice questions. There will be a maximum of 15 delegates accepted on the course, so you will have ample opportunity to discuss all areas of the syllabus. The support material has been designed to be easy to understand and navigate.

Typical Course Leader: Sheila Heap

Sheila is a professional Training Consultant with over 20 years experience of delivering successful training courses within Banking, Legal and Investment Management environments.

Sheila teaches a wide range of investment qualifications including the IMC, a number of IAQ and Certificate in Securities papers and the PCIAM paper of the Securities Institute Diploma achieving excellent results with pass rates far in excess of industry averages. Having worked in investment management for Barclays Stockbrokers from 2001 – 2005, she is able to relate the theory to industry practice, increasing students understanding. In addition she is both AFPC and CeMAP qualified. She has also advised on syllabus content for examinations and been a question writer for various papers for a number of years.

In addition to the examination courses, Sheila has spent the last three years delivering more detailed, specialist and topical training on financial services topics such as equities, bonds, derivatives, corporate actions, investment banking and financial services regulation to audiences ranging from compliance managers and solicitors at top London firms to those very new to the financial services industry.

Course Outline, Part I: 3 Day Introduction to PCIAMAims:

1) To establish the requirements of the PCIAM paper and understand the focus needed to pass the examination

2) To establish current levels of knowledge and demonstrate the gap between what delegates know and what they need to know in order to pass the qualification

3) To give the opportunity for delegates to practice answering and receiving feedback on Section A style questions

Content

Exam structure

Level of the exam

Syllabus

Where to pick up points
Exercises to establish current levels of knowledge in:
- Financial Advice in a Regulated Environment ?
- Financial Markets
- Financial Instruments and Products
Review knowledge and understanding of Financial instruments and products
- National savings and investments
- Government Debt
- Corporate debt
- Corporate equity
- Financial derivatives
- Collective investment schemes
- ETFs
- ITCs
- ISAs
- CTFs
- Private Equity schemes
- Life Assurance and Protection
- Pension provision
Addressing the gap – Identifying the additional knowledge required in the above area
Guidance and practice answering Section A style questions

Course Outline, Part II: 5 day Revision Course

Aims: To enable delegates to explore and understand what they need to do to demonstrate their broad understanding of the principles of private client investment advice within the current regulatory environment

Content

Financial Advice in the Regulated Environment

Assess the implications of the UK legal and regulatory framework as it applies to private client investment services

Financial Markets

Evaluate the relevance of market related factors that can influence investment decisions, processes and advice

Taxation

The impact of taxation on the evaluation of investments and providing advice

Trusts

The principles and key features of trusts and trusts legislation
The taxation of trusts

Principles of Financial Advice

The considerations when recommending suitable investment products for individual customers, to include:
- Fiduciary, ethical and regulatory responsibilities
- Client objectives and constraints
- Investment strategies

Portfolio Performance & Review

Consider the risk and return factors when constructing portfolios and how to benchmark and measure success

Guidance and Practice Answering Section B & C Style Questions

Review and Explanations of Common Problem Areas in Examination Questions

Full Mock Paper in Exam Conditions

How to Book

Please contact us on 01327 858292 or at info@ctp.uk.com to discuss your specific requirements

Booking

If you are interested in booking this course, or if you have any questions, please call call us on 01327 858307.

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