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DipFA® - Assessment Units
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Unit 1: Financial Services, Regulation & Ethics (FSRE) FSRE requires completion of one exam comprising 100 multiple choice questions. The FSRE exam is completed at your local Pearson VUE test centre, and there are over 150 throughout the UK to choose from. The result is provided within minutes of the exam being completed online. There are 22 Topics covered within FSRE, these being: 01: The role & structure of financial markets 12: The FSA’s responsibilities & approach to regulation 02: The role of government   13: Principles & rules of the FSA COB Sourcebook 03: Financial services in the wider economy 14: Money laundering, data protection & complaints 04: Industry obligations to the customer 15: Important legal principles 05: Types of customer and their needs 16: Wills intestacy & trusts 06: Meeting customer’s needs: Protection 17: Understanding risk 07: Meeting customer’s needs: Savings and investments 18: Managing risk 08: Meeting customer’s needs: Retirement & estate planning 19: Gathering information from the client 09: Meeting customer’s needs: Borrowing 20: Addressing the client’s needs 10: Regulatory authorities in the UK 21. Ethical behaviour 11: International regulation 22. Case studies Unit 2: Advanced Financial Advice AFA is assessed by a combination of coursework and a final examination. The coursework is submitted after approximately 16 weeks of study and comprises a written assignment and three short answer questions. The AFA examination takes the form of a hand-written or keyboard-typed suitability report, which is based on a client Factfind. The Factfind is made available six weeks prior to the examination date, which gives the student plenty of time for preparation. Page 3 of 5
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