TC Appendix 4E Appropriate Qualification tables. (Unless otherwise indicated all qualifications are valid if awarded by examination only)

Transcription

1 TC Appnix 4E Approprit Qulifiction tls (Unlss othrwis inict ll qulifictions r vli if wr y xmintion only) Ky for th qulifiction tls for ctivity numrs 2, 3, 4, 6, 12 n 13 Mts full qulifiction rquirmnt up to n ftr 1 Jnury 2013 Mts full qulifiction rquirmnt up to 31 Dcmr 2012; n ftr 1 Jnury 2013 whn comin with qulifiction gp-fill. This gp-fill constituts itionl structur continuing profssionl vlopmnt, which n not y xmintion, complt n vrifi y n ccrit oy y 31 Dcmr 2012 c Mts full qulifiction rquirmnt up to 31 Dcmr Mts full qulifiction rquirmnt up to 31 Dcmr 2012 Ky for th qulifiction tls for ctivity numrs 7, 8, 9, 10, 11, 14, 15, 16, 17, 18, 19, 20, 21, 22, 23 1 mts full qulifiction rquirmnt 2 +3 mts full qulifiction rquirmnt Mts full qulifiction rquirmnt Qulifiction tl for : Avising on (ut not ling in) scuritis (which r not stkholr pnsion schms or rokr funs) Activity numr 2 in TC Appnix 1.1.1R Qulifiction Qulifiction provir Ky Crtifi Intrntionl Wlth Mngr Assocition of Intrntionl Wlth Mngrs Chrtr Finncil Anlyst Progrm Lvl 1 plus CFA Institut/ CFA Socity of UK Invstmnt Mngmnt Crtifict (Lvl 4 crtifict) (post-2010 xm stnrs) Chrtr Finncil Anlyst plus Unit 1 of th CFA Institut/ CFA Socity of UK Invstmnt Mngmnt Crtifict (Lvl 4 crtifict) (post-2010 xm stnrs) Invstmnt Mngmnt Crtifict (Lvl 4 crtifict) (post-2010 xm stnrs) plus othr qulifictions tht mt spcilist stnrs for vising on scuritis CFA Institut/ CFA Socity of UK

2 Chrtr Finncil Anlyst plus Unit 1 of th Invstmnt Mngmnt Crtifict (pr-2010 xm stnrs) Chrtr Finncil Anlyst Progrm Lvl 1 plus Invstmnt Mngmnt Crtifict (pr-2010 xm stnrs) Invstmnt Mngmnt Crtifict CFA Institut/ CFA Socity of UK CFA Institut/ CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt CFA Institut/ CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of c Invstmnt Fllow y xmintion CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Associt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Invstmnt Avic Diplom (whr cnit Th Chrtr Institut for Scuritis & Invstmnt hols 3 mouls incluing th scuritis moul) Mstrs in Wlth Mngmnt (Post 2010 Th Chrtr Institut for Scuritis & Invstmnt xmintion stnrs) Mstrs in Wlth Mngmnt (pr 2010 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) xmintion stnrs) Crtifict in Privt Clint Invstmnt Avic Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) n Mngmnt Crtifict in Privt Clint Invstmnt Avic Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) n Mngmnt (ttin through comptncy intrviw n prsnttion only) Diplom (whr cnit hols 3 mouls s Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) rcommn y th firm) Invstmnt Avic Crtifict Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Mmr of th Scuritis Institut (MSI Dip) (whr cnit hols 3 mouls s rcommn y th firm) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Crtifict in Scuritis Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Crtifict in Invstmnt Mngmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Lvl 6 Diplom in Wlth Mngmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Crtifict in Invstmnts (Invstmnt Mngmnt) Crtifict in Invstmnts (Scuritis) Crtifict in Invstmnts (Scuritis n Finncil Drivtivs) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Crtifict in Scuritis n Finncil Drivtivs Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Rtil SFA Scuritis Rprsnttivs Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Fllow or Associt Fculty or Institut of Acturis Avnc Finncil Plnning Crtifict (must inclu pss in G70 ppr) Chrtr Insurnc Institut c c c

3 Associt or Fllow (lif n pnsions rout only) Chrtr Insurnc Institut Lonon Stock Exchng Full Mmrship Exms Lonon Stock Exchng (rcors now kpt y Th Chrtr Institut for Scuritis & Invstmnt; Formrly th whr cnits hol thr or four pprs or hv oth th Stock Exchng Prctic n Tchniqus of Invstmnt pprs Scuritis & Invstmnt Institut) BA (Hons) Finncil Srvics, Plnning n Mnchstr Mtropolitn Univrsity Mngmnt TSA Rgistr Rprsnttiv s Th Scuritis Assocition (now Th Chrtr Institut for Scuritis & Invstmnt; Formrly th Scuritis & c Invstmnt Institut) BA in Accounting n Finnc Univrsity of Stirling BA in Finnc Univrsity of Stirling MSc in Finnc Univrsity of Stirling MSc in Intrntionl Accounting n Finnc Univrsity of Stirling (whr cnits hol mouls s rcommn y th firm) MSc in Invstmnt Anlysis Univrsity of Stirling ACI Dling Crtifict ACI ACI Diplom ACI Sconry Anlyst Assocition of Jpn Diplom Assocition of Blgin Finncil Anlysts Crtifi Intrntionl Invstmnt Anlyst (CIIA) Th Assocition of Crtifi Intrntionl Invstmnt Anlysts (ACIIA) Cnin Scuritis cours plus Conuct n Cnin Scuritis Institut Prctics Hnook Invstmnt Prctic vrsion of th Invstmnt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Mngmnt Crtifict Crtifict in Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Invstmnts (Invstmnt Mngmnt) Unit 5 Crtifict in Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Invstmnts (Scuritis) plus Scuritis Institut Lvl 3 (Drivtivs) Unit 3 Crtifi Europn Finncil Anlyst EFFAS Socitis with ccrit xmintions Sris 7 Gnrl Scuritis Rprsnttiv Finncil Inustry Rgultory Authority (FINRA) Formrly th Ntionl Assocition of Scuritis Dlrs (NASD) Crtifict in Finncil Mrkts Finncil Srvics Institut of Austrlsi (Formrly th Scuritis Institut of Austrli) Diplom of Finncil Mrkts Finncil Srvics Institut of Austrlsi (Formrly th Scuritis Institut of Austrli) Frnch Socity of Invstmnt Anlysts Intrntionl Fix Incom n Drivtivs (IFID) ICMA Cntr/ Univrsity of Ring (Formrly ISMA Cntr/ Univrsity of Ring) Crtifict Progrmm Rgistr Rprsnttiv Irish Stock Exchng/ Dulin City Univrsity Rgistr Stock Brokr Th Irish Stock Exchng Promotor Finnzirio Itlin Exchng Mmrship Johnnsurg Stock Exchng Rgistr Rprsnttiv of Pulic Scuritis (pr-april 1990) Jpns Bnkrs Assocition

4 Rprsnttiv of Pulic Scuritis Qulifiction Jpns Bnkrs Assocition Clss 1 Rprsnttiv of Pulic Scuritis Jpns Scuritis Dlrs Assocition (pr- April 1990) Rprsnttiv of Pulic Scuritis Qulifiction Jpns Scuritis Dlrs Assocition Typ 1 Trin Dlrs Rprsnttiv Kul Lumpur Stock Exchng Elmntry, Intrmit n Intrntionl Kor Scuritis Tring Institut Cpitl Mrkts cours Crtifict Nw Zln Stock Exchng NIBE SVV Th Dutch Institut for th Bnking, Insurnc & Stockroking Inustry Intrntionl Cpitl Mrkts Qulifiction Scuritis Institut/ South Africn Institut of Finncil Mrkts (incluing th Fix Intrst n Bon Mrkts ) Dlrs Rprsnttiv s Singpor Exchng Orinry n Snior Crtificts South Africn Institut of Finncil Mrkts Unit 1 UK Rgultion n Mrkts CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Diplom Rgultion n Complinc Ppr Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Unit 1 Finncil Rgultion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Unit 6 Principls of Finncil Rgultion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Qulifiction IMRO Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Rgultory Environmnt Qulifiction SFA Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Rgultory Environmnt Scuritis n Invstmnt Institut Unit 1 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Finncil Rgultion (Formrly th Scuritis Institut Rgultory Ppr) Qulifiction Unit 2 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) FSA Rgultory Environmnt (Formrly th Qulifiction Rgultory Environmnt ) Invstmnt Oprtions Crtifict - FSA Finncil Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Rgultion Invstmnt Avic Crtifict Ppr 1 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) SFA Rgistr Prsons Sction 1 (Rgultion) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Qulifiction tl for : Avising on (ut not ling in) Drivtivs Activity numr 3 in TC Appnix 1.1.1R Qulifiction Qulifiction Provir Ky Crtifi Intrntionl Wlth Mngr Assocition of Intrntionl Wlth Mngrs Chrtr Finncil Anlyst plus Unit 1 of th Invstmnt Mngmnt Crtifict (Lvl 4 CFA Institut/ CFA Socity of UK

5 crtifict) (post-2010 xm stnrs) Invstmnt Mngmnt Crtifict (Lvl 4 crtifict) (post-2010 xm stnrs) plus othr qulifictions tht mt RDR spcilist stnrs for rivtivs Chrtr Finncil Anlyst plus Unit 1 of th Invstmnt Mngmnt Crtifict (pr-2010 xm stnrs) Chrtr Finncil Anlyst Progrm Lvl 1 plus Invstmnt Mngmnt Crtifict (Lvl 4 crtifict) (post-2010 xm stnrs) Chrtr Finncil Anlyst Progrm Lvl 1 plus Invstmnt Mngmnt Crtifict (pr-2010 xm stnrs) Associt CFA Institut/ CFA Socity of UK CFA Institut/ CFA Socity of UK CFA Institut/ CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt CFA Institut/ CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Invstmnt Mngmnt Crtifict CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt c Fllow y xmintion CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Mstrs in Wlth Mngmnt (post 2010 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) xmintion stnrs) Invstmnt Avic Diplom Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Mmr of th Scuritis Institut (MSI Dip) (whr cnit hols 3 mouls s rcommn y th firm) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Mstrs in Wlth Mngmnt (pr 2010 xmintion stnrs) Diplom (whr cnit hols 3 mouls s rcommn y th firm) Crtifict in Privt Clint Invstmnt Avic n Mngmnt Crtifict in Privt Clint Invstmnt Avic n Mngmnt (ttin through CISI comptncy intrviw n prsnttion only) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Invstmnt Avic Crtifict Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Crtifict in Drivtivs Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Crtifict in Finncil Drivtivs Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Crtifict in Invstmnt Mngmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Lvl 6 Diplom in Wlth Mngmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Crtifict in Scuritis n Finncil Drivtivs Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Crtifict in Invstmnts (Drivtivs) Crtifict in Invstmnts (Invstmnt Mngmnt) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c c

6 Crtifict in Invstmnts (Scuritis & Finncil Drivtivs) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c SFA Futurs n Options Rprsnttiv Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c SFA Scuritis n Finncil Drivtivs Rprsnttiv Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c SFA Scuritis Rprsnttiv plus Finncil Drivtivs Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Avnc Finncil Plnning Crtifict (must inclu pss in G70 ppr) Chrtr Insurnc Institut Associt or Fllow (lif n pnsions rout only) Chrtr Insurnc Institut Fllow or Associt Fculty or Institut of Acturis Lonon Stock Exchng Full Mmrship Exms Lonon Stock Exchng (rcors now kpt y Th Chrtr Institut for Scuritis & Invstmnt; Formrly th whr cnits hol thr or four pprs or hv oth th Stock Exchng Prctic n Tchniqus of Invstmnt pprs Scuritis & Invstmnt Institut) BA (Hons) Finncil Srvics, Plnning n Mngmnt Mnchstr Mtropolitn Univrsity TSA Rgistr Rprsnttiv s Th Scuritis Assocition c Intrntionl Cpitl Mrkts Qulifiction (ICMQ) incluing pss in Futurs, Options n othr Drivtiv Proucts ppr Scuritis Institut/ South Africn Institut of Finncil Mrkts c BA in Finnc n Accounting Univrsity of Stirling MSc in Finnc Univrsity of Stirling MSc in Intrntionl Accounting n Finnc (whr cnits hol mouls s rcommn y th firm) Univrsity of Stirling MSc in Invstmnt Anlysis Univrsity of Stirling ACI Dling Crtifict ACI ACI Diplom ACI Sconry Anlyst Assocition of Jpn Crtifi Intrntionl Invstmnt Anlyst (CIIA) Th Assocition of Crtifi Intrntionl Invstmnt Anlysts (ACIIA) Chrtr Finncil Anlyst CFA Institut Invstmnt Prctic ppr of th Invstmnt Mngmnt Crtifict Crtifict in Invstmnts (Invstmnt Mngmnt) Unit 5 Diplom incluing psss in oth th Austrlin Futurs Tring n Options pprs Intrntionl Fix Incom n Drivtivs (IFID) Crtifict Progrmm Rgistr Rprsnttiv of Pulic Scuritis (pr April 1990) Rprsnttiv of Pulic Scuritis Qulifiction Clss 1 CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Finncil Srvics Institut for Austrlsi (Formrly th Scuritis Institut of Austrli) ICMA Cntr/ Univrsity of Ring (Formrly ISMA Cntr/ Univrsity of Ring) Jpns Bnkrs Assocition Jpns Bnkrs Assocition

7 Rprsnttiv of Pulic Scuritis (pr April 1990) Jpns Scuritis Dlrs Assocition Rprsnttiv of Pulic Scuritis Qulifiction Typ 1 Jpns Scuritis Dlrs Assocition Sris 3 Futurs Rprsnttiv Ntionl Futurs Assocition NIBE SVV th Dutch Institut for Bnking, Insurnc & Stockroking Inustry Norwgin Socity of Finncil Anlysts Singpor Exchng Futurs Tring Tst Singpor Institut of Bnking & Finnc Rgistr Rprsnttiv Syny Futurs Exchng Diplom Rgultion n Complinc Ppr Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Qulifiction IMRO Rgultory Environmnt moul Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Qulifiction SFA Rgultory Environmnt moul Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Qulifiction Unit 2 FSA Rgultory Environmnt (Formrly th Qulifiction Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Rgultory Environmnt ) Invstmnt Oprtions Crtifict - FSA Finncil Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Rgultion Invstmnt Avic Crtifict Ppr 1 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Scuritis & Invstmnt Institut Unit 1 Finncil Rgultion (Formrly th Scuritis Institut Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Rgultory Ppr) SFA Rgistr Prsons Sction 1 (Rgultion) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Unit 1 Finncil Rgultion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Unit 1 UK Rgultion n Mrkts CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Unit 6 Principls of Finncil Rgultion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Qulifiction tl rlting to : Avising on Pckg Proucts (which r not rokr funs) n Frinly Socity tx-xmpt policis - Activity Numrs 4 n 6 in TC Appnix R Qulifiction Qulifiction Provir Ky BA in Finncil Srvics (1995 to 2001) Bournmouth Univrsity MA in Finncil Srvics (1995 to 2001) Bournmouth Univrsity Post Grut in Finncil Srvics (1995 to 2001) Bournmouth Univrsity Diplom in Profssionl Finncil Avic Clirn/ Scottish Qulifictions Authority Diplom in Invstmnt Plnning (Existing Avisr) Chrtr Institut of Bnkrs in Scotln Post 2010 xmintion stnrs Diplom in Invstmnt Plnning (Nw Avisr) Chrtr Institut of Bnkrs in Scotln Post 2010 xmintion stnrs

8 Diplom in Invstmnt Plnning (Rtil Bnking) Chrtr Institut of Bnkrs in Scotln (Nw Avisr) Post 2010 xmintion stnrs Diplom in Invstmnt Plnning (Rtil Bnking) Chrtr Institut of Bnkrs in Scotln (Existing Avisr) Post 2010 xmintion stnrs Diplom in invstmnt plnning (work s Chrtr Institut of Bnkrs in Scotln ssssmnt) Associt (Mrch 1992 to July 1994 syllus Chrtr Institut of Bnkrs in Scotln (incluing top-up tst)) Associt (post August 1994 syllus) Chrtr Institut of Bnkrs in Scotln Crtifict in Invstmnt Plnning (pr Chrtr Institut of Bnkrs in Scotln 17/09/2004) Chrtr Bnkr (whr cnits hol UK Chrtr Institut of Bnkrs in Scotln Finncil Srvics n Invstmnt mouls) Diplom in Invstmnt Plnning (currnt) Chrtr Institut of Bnkrs in Scotln Crtifict in Invstmnt Plnning (Post 17/09/2004) Chrtr Institut of Bnkrs in Scotln c Mstrs in Wlth Mngmnt (pr-2010 xm stnrs) Th Chrtr Institut for Scuritis & Invstmnt Mstrs in Wlth Mngmnt (Post 2010 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) xmintion stnrs) Invstmnt Avic Diplom Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Invstmnt Avic Crtifict Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Crtifict in Privt Clint Invstmnt Avic n Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Mngmnt (ttin through comptncy intrviw n prsnttion only) Crtifict in Privt Clint Invstmnt Avic n Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Mngmnt Diplom (whr cnits hol 3 mouls s Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) rcommn y th firm) Mmr of th Scuritis Institut (MSI Dip) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) (whr cnit hols 3 mouls s rcommn y th firm) Lvl 6 Diplom in Wlth Mngmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Diplom in Rgult Finncil Plnning Chrtr Insurnc Institut Diplom in Rgult Finncil Plnning (ttin through CII ltrntiv ssssmnt y) Chrtr Insurnc Institut Avnc Diplom in Finncil Plnning Chrtr Insurnc Institut Avnc Finncil Plnning Crtifict Chrtr Insurnc Institut Associt (ACII) (whr cnit hols Chrtr Insurnc Institut pproprit lif n pnsion mouls) Associt (ALIA Dip) Chrtr Insurnc Institut Diplom in Finncil Plnning Chrtr Insurnc Institut Fllow (FCII) (whr cnits hol pproprit Chrtr Insurnc Institut lif n pnsions mouls)

9 Crtifict in Finncil Plnning Chrtr Insurnc Institut c Finncil Plnning Crtifict (No nw rgistrtions ftr 17/12/2004) Chrtr Insurnc Institut c Fllow (FLIA Dip) Chrtr Insurnc Institut Fllow or Associt Fculty or Institut of Acturis FSSC Avnc Apprnticship in Avising on Finncil Proucts (Finncil Avic Pthwy) c Associt (whr cnit hs pss th ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) invstmnt moul) Diplom for Finncil Avisrs (pr 2010 ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) xmintion stnrs) Profssionl Invstmnt Crtifict ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) Diplom for Finncil Avisrs (post 2010) ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) Crtifict for Finncil Avisrs (Post 1/11/2004) ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) Crtifict for Finncil Avisrs (Pr 31/10/2004) ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) Profssionl Crtifict in Bnking (PCrtB) (whr cnit hs pss th Prctic of ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) Finncil Avic moul) Crtifi Finncil Plnnr Institut of Finncil Plnning Fllowship Institut of Finncil Plnning Lonon Stock Exchng Full Mmrship Exms Lonon Stock Exchng (rcors now kpt y Th Chrtr Institut for Scuritis & Invstmnt; Formrly th whr cnits hol thr or four pprs or hv oth th Stock Exchng Prctic n Tchniqus of Invstmnt pprs Scuritis & Invstmnt Institut) BA (Hons) Finncil Srvics, Plnning n Mngmnt Mnchstr Mtropolitn Univrsity BA in Finncil Srvics (1995 to 2001) Shffil Hllm Univrsity MA in Finncil Srvics (1995 to 2001) Shffil Hllm Univrsity Post Grut in Finncil Srvics (1995 to Shffil Hllm Univrsity 2001) BA in Finnc Univrsity of Stirling BA in Finnc n Accounting Univrsity of Stirling BA in Finncil Srvics (1995 to 2001) Univrsity of th Wst of Engln MA in Finncil Srvics (1995 to 2001) Univrsity of th Wst of Engln Post Grut in Finncil Srvics (1995 to 2001) Univrsity of th Wst of Engln Crtifict in Invstmnt Plnning Ppr 1 (Pr 31/10/2004) Chrtr Institut of Bnkrs in Scotln Crtifict in Invstmnt Plnning (Post 17/09/2004) Chrtr Institut of Bnkrs in Scotln Crtifict in Invstmnt n Finncil Avic Ppr 1 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Invstmnt Avic Crtifict Ppr 1 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Finncil Plnning Crtifict Ppr 1 Chrtr Insurnc Institut Crtifict in Finncil Plnning Ppr 1 Chrtr Insurnc Institut

10 Crtifict for Finncil Avisrs Ppr 1 (Post 1/11/2004) Crtifict for Finncil Avisrs Ppr 1 (Pr 31/10/2004) Crtifict in Mortgg Avic n Prctic (CMAP) Ppr 1 (Pr 31/10/2004) ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) Qulifiction tl for : Avising on, n ling in Scuritis (which r not stkholr pnsion schms or rokr funs) Activity numr 12 in TC Appnix 1.1.1R Qulifiction Qulifiction Provir Ky Crtifi Intrntionl Wlth Mngr Assocition of Intrntionl Wlth Mngrs Chrtr Finncil Anlyst Progrm Lvl 1 plus Invstmnt Mngmnt Crtifict (Lvl 4 crtifict) (post-2010 xm stnrs) Chrtr Finncil Anlyst plus Unit 1 of th Invstmnt Mngmnt Crtifict (Lvl 4 crtifict) (post-2010 xm stnrs) Invstmnt Mngmnt Crtifict (Lvl 4 crtifict) (post-2010 xm stnrs) plus othr qulifictions tht mt RDR spcilist stnrs for scuritis CFA Institut/ CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt CFA Institut/ CFA Socity of UK CFA Institut/ CFA Socity of UK Chrtr Finncil Anlyst plus Unit 1 of th Invstmnt CFA Institut/ CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Mngmnt crtifict (pr-2010 xm stnrs) Institut of Invstmnt Chrtr Finncil Anlyst Progrm Lvl 1 plus Invstmnt CFA Institut/ CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Mngmnt Crtifict (pr-2010 xm stnrs) Institut of Invstmnt Fllow y xmintion CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Associt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Invstmnt Avic Diplom (whr cnit hols 3 mouls Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) incluing th scuritis moul) Mstrs in Wlth Mngmnt (s on post 2010 xmintion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) stnrs) Mstrs in Wlth Mngmnt (s on pr 2010 xmintion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) stnrs) Crtifict in Privt Clint Invstmnt Avic n Mngmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Crtifict in Privt Clint Invstmnt Avic n Mngmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) (ttin through comptncy intrviw n prsnttion only) Diplom (whr cnit hols 3 mouls s rcommn y Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) th firm) Mmr of th Scuritis Institut (MSI Dip) (whr cnit Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) hols 3 mouls s rcommn y th firm) Crtifict in Scuritis - Rtil Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Crtifict in Scuritis n Finncil Drivtivs Rtil Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Crtifict in Invstmnt Mngmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c

11 Lvl 6 Diplom in Wlth Mngmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c (Invstmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Mngmnt) (Scuritis & Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Finncil Drivtivs) (Scuritis) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c SFA Scuritis Rprsnttiv Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c SFA Scuritis n Finncil Drivtivs Rprsnttiv Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Avnc Finncil Plnning Crtifict (must inclu pss in Chrtr Insurnc Institut G70 ppr) Associtship (must inclu pss in th Invstmnt Ppr) ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) Lonon Stock Exchng Full Mmrship Exms whr Lonon Stock Exchng (rcors now kpt y Th Chrtr Institut for Scuritis & Invstmnt; cnits hol thr or four pprs or hv oth th Stock Exchng Prctic n Tchniqus of Invstmnt pprs Formrly th Scuritis & Invstmnt Institut) BA (Hons) Finncil Srvics, Plnning n Mngmnt Mnchstr Mtropolitn Univrsity c TSA Rgistr Rprsnttiv s Th Scuritis Assocition BA in Finnc Univrsity of Stirling BA in Finnc n Accounting Univrsity of Stirling MSc in Invstmnt Anlysis Univrsity of Stirling MSc in Finnc Univrsity of Stirling ACI Dling Crtifict ACI ACI Diplom ACI Sconry Anlyst Assocition of Jpn Diplom Assocition of Blgin Finncil Anlysts Crtifi Intrntionl Invstmnt Anlyst (CIIA) Th Assocition of Crtifi Intrntionl Invstmnt Anlysts (ACIIA) Cnin Scuritis Cours plus Conuct n Prctics Cnin Scuritis Institut Hnook Crtifi Europn Finncil Anlyst EFFAS Socitis with ccrit xmintions Sris 7 Gnrl Scuritis Rprsnttivs Finncil Inustry Rgultory Authority (FINRA) Formrly th Ntionl Assocition of Scuritis Dlrs (NASD) Crtifict in Finncil Mrkts Finncil Srvics Institut of Austrlsi (Formrly th Scuritis Institut of Austrli) Diplom of Finncil Mrkts Finncil Srvics Institut of Austrlsi (Formrly th Scuritis Institut of Austrli) Frnch Socity of Invstmnt Anlysts Intrntionl Fix Incom n Drivtivs (IFID) Crtifict ICMA Cntr/ Univrsity of Ring (Formrly ISMA Cntr/ Univrsity of Ring) Progrmm Gnrl Crtifict Progrmm ICMA Cntr/ Univrsity of Ring (Formrly ISMA Cntr/ Univrsity of Ring) Irish Rgistr Rprsnttiv Irish Stock Exchng/ Dulin City Univrsity Promotor Finnzirio Itlin Exchng Rgistr Rprsnttiv of Pulic Scuritis (pr Jpns Bnkrs Assocition April 1990) Rprsnttiv of Pulic Scuritis Qulifiction Clss 1 Jpns Bnkrs Assocition Rgistr Rprsnttiv of Pulic Scuritis (pr Jpns Scuritis Dlrs Assocition April 1990) Rprsnttiv of Pulic Scuritis Qulifiction Typ 1 Jpns Scuritis Dlrs Assocition

12 Mmrship s Johnnsurg Stock Exchng Elmntry, Intrmit n Intrntionl Cpitl Mrkts Kor Scuritis Trining Courss Trin Dlrs Rprsnttiv Kul Lumpur Stock Exchng Crtifict Nw Zln Stock Exchng NIBE SVV th Dutch Institut for th Bnking, Insurnc & Stockroking Inustry Intrntionl Cpitl Mrkts Qulifiction (inclusiv of th Fix Scuritis Institut/ South Africn Institut of Finncil Mrkts Intrst n Bon Mrkts ) Dlrs Rprsnttiv Singpor Exchng Diplom Th Swiss Stock Exchng Profssionl Crtifict in Stockroking Univrsity Collg Dulin (UCD)/ Th Institut of Bnkrs School of Profssionl Finnc Qulifiction IMRO Rgultory Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Environmnt Qulifiction SFA Rgultory Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Environmnt Qulifiction Unit 2 FSA Rgultory Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Environmnt (Formrly th Qulifiction Rgultory Environmnt ) Invstmnt Oprtions Crtifict FSA Finncil Rgultion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Scuritis & Invstmnt Institut Unit 1 Finncil Rgultion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) (Formrly th Scuritis Institut Rgultory Ppr) Unit 1 Finncil Rgultion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Unit 1 UK Rgultion n Mrkts CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Unit 6 Principls of Finncil Rgultion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) SFA Rgistr Prsons Sction 1 (Rgultion) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Qulifiction tl for : Avising on n ling with or for clints in Drivtivs Activity numr 13 in TC Appnix 1.1.1R Qulifiction Qulifiction Provir Ky Crtifi Intrntionl Wlth Mngr Assocition of Intrntionl Wlth Mngrs Chrtr Finncil Anlyst Progrm Lvl 1 plus Invstmnt Mngmnt Crtifict (Lvl 4 crtifict) (post-2010 xm stnrs) Chrtr Finncil Anlyst plus Unit 1 of th Invstmnt Mngmnt crtifict (Lvl 4 crtifict) (pr-2010 xm stnrs) CFA Institut/ CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt CFA Institut/ CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Chrtr Finncil Anlyst Progrm Lvl 1 CFA Institut/ CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of plus Invstmnt Mngmnt Crtifict Invstmnt Associt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Mngmnt & Rsrch) Chrtr Finncil Anlyst plus Unit 1 of th CFA Institut/ CFA Socity of UK

13 Invstmnt Mngmnt Crtifict (Lvl 4 crtifict) (post-2010 xm stnrs) Invstmnt Mngmnt Crtifict (Lvl 4 CFA Institut/ CFA Socity of UK crtifict) (post-2010 xm stnrs) plus othr qulifictions tht mt spcilist stnrs for vising on scuritis Fllow y xmintion CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Mngmnt & Rsrch) Associtship must inclu pss in th Chrtr Institut of Bnkrs in Scotln Invstmnt Ppr Invstmnt Avic Diplom Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Crtifict in Privt Clint Invstmnt Avic Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) n Mngmnt Crtifict in Privt Clint Invstmnt Avic Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) n Mngmnt (ttin through CISI comptncy intrviw n prsnttion only) Mstrs in Wlth Mngmnt (s on Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) pr 2010 xmintion stnrs) Mstrs in Wlth Mngmnt (s on Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) post 2010 xmintion stnrs) Diplom (whr cnit hols 3 mouls Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) s rcommn y th firm) Crtifict in Drivtivs Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Crtifict in Finncil Drivtivs Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Crtifict in Invstmnt Mngmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Lvl 6 Diplom in Wlth Mngmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Crtifict in Scuritis n Finncil Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Drivtivs Crtifict in Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Invstmnts (Drivtivs) Crtifict in Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Invstmnts (Invstmnt Mngmnt) Crtifict in Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) c Invstmnts (Scuritis & Finncil Drivtivs) Mmr of th Scuritis Institut (MSI Dip) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) (whr cnit hols 3 mouls s rcommn y th firm) SFA Futurs n Options Rprsnttiv Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) SFA Scuritis n Finncil Drivtivs Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Rprsnttiv Finncil Drivtivs ppr of Diplom Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) SFA Scuritis Rprsnttiv plus Finncil Drivtivs Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut)

14 Finncil Futurs n Options ppr of th Diplom Avnc Finncil Plnning Crtifict (must inclu pss in G70 ppr) Associtship (must inclu pss in th Invstmnt Ppr) Associtship (must inclu pss in th Invstmnt Mngmnt Ppr) Lonon Stock Exchng Full Mmrship Exms whr cnits hols thr or four pprs or hv oth th Stock Exchng Prctic n Tchniqus of Invstmnt pprs BA (Hons) Finncil Srvics, Plnning n Mngmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Chrtr Insurnc Institut ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) Lonon Stock Exchng (rcors now kpt y Th Chrtr Institut for Scuritis & Invstmnt; Formrly th Scuritis & Invstmnt Institut) Mnchstr Mtropolitn Univrsity TSA Rgistr Rprsnttiv Th Scuritis Assocition Intrntionl Cpitl Mrkts Qulifiction Scuritis Institut/ South Africn Institut of Finncil Mrkts (ICMQ) incluing pss in Futurs, Options n othr Drivtiv Proucts BA in Finnc n Accounting Univrsity of Stirling MSc in Finnc Univrsity of Stirling MSc in Intrntionl Accounting n Finnc Univrsity of Stirling (whr cnits hol mouls s rcommn y th firm) MSc in Invstmnt Anlysis Univrsity of Stirling ACI Dling Crtifict ACI ACI Diplom ACI Sconry Anlyst Assocition of Jpn Crtifi Intrntionl Invstmnt Anlyst Th Assocition of Crtifi Intrntionl Invstmnt Anlysts (ACIIA) (CIIA) Drivtivs Funmntls Cours n Cnin Scuritis Institut Futurs/Options Licnsing Cours Diplom incluing psss in oth th Finncil Srvics Institut of Austrlsi (Formrly th Scuritis Institut of Austrli) Austrlin Futurs Tring n Options Tring pprs Intrntionl Fix Incom n Drivtivs ICMA Cntr/ Univrsity of Ring (Formrly ISMA Cntr/ Univrsity of Ring) (IFID) Crtifict Progrmm Rgistr Rprsnttiv of Pulic Jpns Bnkrs Assocition Scuritis (pr April 1990) Rprsnttiv of Pulic Scuritis Jpns Bnkrs Assocition Qulifictions Clss 1 Rprsnttiv of Pulic Scuritis Jpns Scuritis Dlrs Assocition (pr April 1990) Rprsnttiv of Pulic Scuritis Jpns Scuritis Dlrs Assocition

15 Qulifictions Typ 1 Sris 3 Ntionl Commoitis Futurs Ntionl Futurs Assocition NIBE SVV th Dutch Institut for th Bnking, Insurnc & Stockroking Inustry Norwgin Socity of Finncil Anlysts Singpor Exchng Futurs Tring Tst Singpor Institut of Bnking & Finnc Orinry n Snior Crtificts South Africn Institut of Finncil Mrkts Unit 1 Finncil Rgultion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Unit 1 UK Rgultion n Mrkts CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Mngmnt & Rsrch) Unit 6 Principls of Finncil Rgultion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Diplom Rgultion n Complinc Ppr Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Qulifiction Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) IMRO Rgultory Environmnt Qulifiction SFA Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Rgultory Environmnt Qulifiction Unit Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 2 FSA Rgultory Environmnt (Formrly th Qulifiction Rgultory Environmnt ) Invstmnt Oprtions Crtifict FSA Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Finncil Rgultion Scuritis & Invstmnt Institut Unit 1 Finncil Rgultion (Formrly th Scuritis Institut Rgultory Ppr) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) Qulifiction tl for : Avising on Long-trm cr insurnc contrcts Activity numr 7 in TC Appnix 1.1.1R Qulifiction Boy Ky Crtifict in Finncil Plnning & Chrtr Insurnc Institut 1 Long Trm Cr Insurnc G80 ppr of Avnc Finncil Chrtr Insurnc Institut 1 Plnning Crtifict (Octor 2004) plus pproprit xm rquirmnts for TC 2.1.4R(1)(f) Crtifict for Finncil Avisrs & ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 1 Crtifict in Long-trm Cr Insurnc FSSC Avnc Apprnticship in 1 Avising on Finncil Proucts (Long Trm Cr Insurnc Pthwy) Ntionl Diplom:Finncil Srvics Insurnc Sctor Euction n Trining Authority 2

16 Long-Trm Risk Assssmnt Qulifiction tl for : Avising on invstmnts in th cours of corport finnc usinss Activity numr 8 in TC Appnix 1.1.1R Qulifiction Boy Ky Fllow or Associt y xmintion CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 1 Invstmnt Mngmnt Crtifict CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 1 Crtifict in Corport Finnc Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 Crtifict in Invstmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 Mngmnt Crtifict in Scuritis Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 Crtifict in Scuritis n Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 Finncil Drivtivs Diplom (must inclu pss in Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 Rgultion n Complinc Ppr) SFA Corport Finnc Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 Rprsnttiv SFA Scuritis Rprsnttiv Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 SFA Scuritis n Finncil Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 Drivtivs Rprsnttiv Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 (Invstmnt Mngmnt) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 (Scuritis & Finncil Drivtivs) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 (Scuritis) G70 ppr of Avnc Finncil Chrtr Insurnc Institut 1 Plnning Crtifict Fllow or Associt Institut of Chrtr Accountnts in Engln & Wls 1 Fllow or Associt Institut of Chrtr Accountnts in Irln 1 Mmr Institut of Chrtr Accountnts in Scotln 1 Mmr or Affilit Assocition of Chrtr Crtifi Accountnts 1

17 Stock Exchng Rgistr Lonon Stock Exchng (rcors now kpt y Th Chrtr Institut for Scuritis & Invstmnt; Formrly th 1 Rprsnttiv Scuritis & Invstmnt Institut) TSA Rgistr Rprsnttiv Th Scuritis Assocition (now Th Chrtr Institut for Scuritis & Invstmnt; Formrly th Scuritis & 1 Invstmnt Institut) Sconry Anlyst Assocition of Jpn 2 Invstmnt Prctic vrsion of th CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 2 Invstmnt Mngmnt Crtifict Crtifict in Invstmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 2 Mngmnt Ppr 2 Diplom Corport Finnc Ppr Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 2 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 2 (Invstmnt Mngmnt) Unit 5 Rgistr Rprsnttiv of Pulic Jpns Bnkrs Assocition 2 Scuritis (pr-april 1990) Rprsnttiv of Pulic Scuritis Jpns Scuritis Dlrs Assocition 2 (pr-april 1990) Rprsnttiv of Pulic Scuritis Jpns Bnkrs Assocition 2 Qulifiction Clss 1 Rprsnttiv of Pulic Scuritis Jpns Scuritis Dlrs Assocition 2 Qulifiction Typ 1 B(ii), Scuritis n Portfolio Lw Socity of Engln & Wls 2 Mngmnt NIBE SVV th Dutch Institut for th Bnking, Insurnc & Stockroking Inustry 2 Orinry n Snior Crtificts South Africn Institut of Finncil Mrkts 2 MSc in intrntionl Accounting n Univrsity of Stirling 2 Finnc (whr cnits hol mouls s rcommn y th firm) UK Rgultion n Mrkts vrsion CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 3 of Invstmnt Mngmnt Crtifict Diplom Rgultion n Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Complinc Ppr Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Qulifiction IMRO Rgultory Environmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Qulifiction SFA Rgultory Environmnt Qulifiction Unit 2 FSA Rgultory Environmnt (Formrly th Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3

18 Qulifiction Rgultory Environmnt ) Invstmnt Oprtions Crtifict Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 FSA Finncil Rgultion Principls of Finncil Rgultion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 SFA Rgistr Prsons Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Sction 1 (Rgultion) Scuritis & Invstmnt Institut Unit 1 Finncil Rgultion (Formrly th Scuritis Institut Rgultory Ppr) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Qulifiction tl for : Avising on synict prticiption t Lloy s - Activity numr 9 in TC Appnix 1.1.1R Qulifiction Qulifiction Provir Ky Lloy s Mrkt Crtifict Lloy s/ Chrtr Insurnc Institut 1 Lloy s n Lonon Mrkt Introuctory Tst (Formrly th Lloy s Introuctory Tst) Lloy s 1

19 Qulifiction tl for : Acting s Pnsion trnsfr spcilist Activity numr 11 in TC Appnix 1.1.1R Qulifiction Qulifiction Provir Ky Fllow or Associt incluing thr Chrtr Insurnc Institut 1 pnsions-rlt sujcts s confirm y th xmining oy G60 ppr of Avnc Finncil Chrtr Insurnc Institut 1 Plnning Crtifict Unit AF3 of th Avnc Diplom Chrtr Insurnc Institut 1 in Finncil Plnning Fllow or Associt Fculty or Institut of Acturis 1 Pnsions ppr of Profssionl ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 1 Invstmnt Crtifict Fllow or Associt y xmintion Pnsions Mngmnt Institut 1 Fllow or Associt y xmintion Pnsions Mngmnt Institut 1 Qulifiction tl for : Mnging invstmnts or Acting s Brokr fun visr Activity numr 14 n 10 in TC Appnix 1.1.1R Qulifiction Qulifiction Provir Ky Crtifi Intrntionl Wlth Assocition of Intrntionl Wlth Mngmnt (AIWM) 1 Mngr Diplom (CIWM) Invstmnt Mngmnt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 1 Crtifict (oth pr n post 2010 xmintion stnrs) Fllow y xmintion CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 1 Crtifict in Privt Clint Invstmnt Avic n Mngmnt Crtifict in Privt Clint Invstmnt Avic n Mngmnt (ttin through CISI comptncy intrviw n prsnttion only) Diplom (whr cnit hols 3 mouls s rcommn y th firm) Invstmnt Avic Diplom (whr cnits hol tchnicl mouls s rcommn y th firm) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1

20 Mstrs in Wlth Mngmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 Crtifict in Invstmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 Mngmnt Lvl 6 Diplom in Wlth Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 Mngmnt Invstmnt Avic Crtifict Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 1 (Invstmnt Mngmnt) Lonon Stock Exchng Full Lonon Stock Exchng (rcors r now kpt y th Chrtr Institut for Scuritis & Invstmnt; Formrly th 1 Mmrship Exms whr cnits hol thr or four pprs or hols oth th Stock Exchng Prctic n Tchniqu of Invstmnt Pprs Scuritis & Invstmnt Institut) Avnc Finncil Plnning Chrtr Insurnc Institut 1 Crtifict (must inclu pss in G70 ppr) Associt chiv y Fculty or Institut of Acturis 1 xmintion pss for 1 Dcmr 2001 (must inclu pss in Sujct 301 Invstmnt n Asst Mngmnt (syllus in forc from 1998) Fllow chiv y xmintion Fculty or Institut of Acturis 1 (must inclu pss in sujcts 301 n 401 Invstmnt n Asst Mngmnt (syllus in forc from 1998) Fllow or Associt y xmintion Fculty or Institut of Acturis 1 (must inclu Invstmnt Ppr E (Syllus in forc until 1998)) MSc in Intrntionl Accounting Univrsity of Stirling 1 (whr cnits hol mouls s rcommn y th firm) MSc in Invstmnt Anlysis Univrsity of Stirling 1 Crtifi Intrntionl Invstmnt Th Assocition of Crtifi Intrntionl Invstmnt Anlysts (ACIIA) 2 Anlyst (CIIA) Chrtr Finncil Anlyst (Lvl CFA Institut 2 1) Invstmnt Mngmnt Asst CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 2 Alloction Qulifiction Invstmnt Prctic Vrsion of Invstmnt Mngmnt Crtifict (oth pr n post 2010 rform Approprit Exm CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 2

21 stnrs vrsions) Crtifict in Invstmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 2 Mngmnt ppr 2 Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 2 (Invstmnt Mngmnt) unit 5 Crtifi Europn Finncil EFFAS Socitis with ccrit xmintions 2 Anlyst IPF Crtifict in Proprty Invstmnt Proprty Forum 2 Invstmnt Associt chiv y Fculty or Institut of Acturis 2 xmintion pss ftr 30 Novmr 2001 (must inclu pss in sujct 301 Invstmnt n Asst Mngmnt (syllus in forc from 1998) Chrtr Mmr Scuritis Anlysts Assocition of Jpn 2 Crtifict in Invstmnt Mngmnt (t lst 3 pprs pss y xmintion) Socity of Invstmnt Anlysts in Irln 2 Orinry n Snior Crtificts South Africn Institut of Finncil Mrkts 2 Dul gr Excutiv MBA in Swiss Finnc Institut 2 Asst n Wlth Mngmnt Unit 1 UK Rgultion & Mrkts CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 3 Unit 1 Finncil Rgultion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Unit 6 Principls of Finncil Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Rgultion Diplom Rgultion n Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Complinc Ppr Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Qulifiction IMRO Rgultory Environmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Qulifiction SFA Rgultory Environmnt Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Qulifiction Unit 2 FSA Rgultory Environmnt (Formrly th Invstmnt Aministrtion Qulifiction Rgultory Environmnt ) Invstmnt Oprtions Crtifict FSA Finncil Rgultion Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3

22 SFA Rgistr Prsons Sction 1 (Rgultion) Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Qulifiction tl for : Ovrsing on y to y sis oprting collctiv invstmnt schm or unrtking ctivitis of trust or positry of collctiv invstmnt schm Activity numr 15 in TC Appnix 1.1.1R Qulifiction Qulifiction Provir Ky Mmr Assocition of Accounting Tchnicins 4 Fllow or Associt Assocition of Chrtr Crtifi Accountnts 4 Fllow or Associt Assocition of Corport Trsurrs 4 Fllow or Associt Chrtr Institut of Bnkrs in Irln 4 Crtifict in Invstmnt Plnning Chrtr Institut of Bnkrs in Scotln 4 Ppr 1 Mmr or Associt Chrtr Institut of Bnkrs in Scotln 4 Fllow or Associt Chrtr Institut of Mngmnt Accountnts 4 Fllow or Associt Chrtr Institut of Pulic Finnc n Accountncy 4 Fllow or Associt y CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 4 xmintion Invstmnt Mngmnt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 4 Crtifict Qulifiction Introuction to Scuritis n Invstmnt Invstmnt Oprtions Crtifict Introuction to Scuritis n Invstmnt Crtifict in Corport Finnc Crtifict in Drivtivs Ppr 2 Crtifict in Invstmnt Mngmnt Crtifict in Scuritis Ppr 2 Crtifict in Scuritis n Finncil Drivtivs Ppr 2 Clint Srvics Qulifiction Diplom Diplom Glol Oprtions Mngmnt Diplom Intrntionl Oprtions

23 Mngmnt moul Diplom Oprtions Mngmnt moul Invstmnt Avic Crtifict Ppr 1 Mmr of th Scuritis Institut y xmintion (Drivtivs) Unit 3 (Invstmnt Mngmnt) (Scuritis & Finncil Drivtivs) (Scuritis & Finncil Drivtivs) Unit 4 (Scuritis) Unit 2 SFA Corport Finnc Rprsnttiv SFA Futurs n Options Rprsnttiv SFA Scuritis Rprsnttiv SFA Scuritis n Finncil Drivtivs Rprsnttiv Stock Exchng Rgistr Lonon Stock Exchng (rcors r now kpt y th Chrtr Institut for Scuritis & Invstmnt; Formrly th 4 Rprsnttiv Scuritis & Invstmnt Institut) Fllow or Associt Chrtr Insurnc Institut 4 Finncil Plnning Crtifict Chrtr Insurnc Institut 4 Ppr 1 Crtifict for Finncil Avisrs ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 4 Ppr 1 (Pr 31/10/2004) Fllow or Associt ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 4 Fllow or Associt Institut of Chrtr Accountnts in Engln & Wls 4 Fllow or Associt Institut of Chrtr Accountnts in Irln 4 Mmr Institut of Chrtr Accountnts in Scotln 4 Crtifict in Collctiv Invstmnt Schm Aministrtion Institut of Chrtr Scrtris & Aministrtors 4

24 Crtifict in Compny Scrtril Institut of Chrtr Scrtris & Aministrtors 4 Prctic n Shr Rgistrtion Prctic (incluing th Rgultory moul within th xmintion) Fllow or Associt Institut of Chrtr Scrtris & Aministrtors 4 Solicitor Lw Socity of Engln & Wls/ Lw Socity of Northrn Irln 4 TSA Rgistr Rprsnttiv Th Scuritis Assocition 4 Fllow or Associt Pnsions Mngmnt Institut 4 Invstmnt Mngmnt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 5 Crtifict Invstmnt Rgultion n Prctic Ppr of th Associt UK Rgultion n Mrkts vrsion of th Invstmnt Mngmnt Crtifict Crtifict in Invstmnt Plnning Ppr 1 Qulifiction SFA Rgultory Environmnt Unit 6 Principls of Finncil Rgultion Crtifict in Invstmnt Mngmnt Diplom Glol Oprtions Mngmnt Diplom Intrntionl Oprtions Mngmnt Diplom Oprtions Mngmnt Diplom Rgultion n Complinc Qulifiction IMRO Rgultory Environmnt Qulifiction FSA Rgultory Environmnt Invstmnt Oprtions Crtifict FSA Finncil Rgultion Invstmnt Avic Crtifict Ppr 1 CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Chrtr Institut of Bnkrs in Scotln 5 5 5

25 (Invstmnt Mngmnt) Scuritis & Invstmnt Institut Unit 1 Finncil Rgultion (Formrly th Scuritis Institut Rgultory Ppr) SFA Futurs n Options Rprsnttiv SFA Scuritis n Finncil Drivtivs Rprsnttiv SFA Rgistr Prsons Sction 1 (Rgultion) Stock Exchng Rgistr Rprsnttiv Finncil Plnning Crtifict Ppr 1 Crtifict for Finncil Avisrs Ppr 1 (Pr 31/10/2004) Crtifict for Finncil Avisrs Ppr 1 Crtifict in Collctiv Invstmnt Schm Aministrtion Crtifict in Compny Scrtril Prctic n Shr Rgistrtion Prctic (incluing th Rgultory moul within th xmintion) TSA Rgistr Rprsnttiv Diplom Glol Oprtions Mngmnt Diplom Intrntionl Oprtions Mngmnt Diplom Oprtions Mngmnt Qulifiction Collctiv Invstmnt Schms Aministrtion Invstmnt Oprtions Crtifict Collctiv Invstmnt Schms Aministrtion Qulifiction Asst Srvicing Lonon Stock Exchng (rcors r now kpt y th Chrtr Institut for Scuritis & Invstmnt; Formrly th 5 Scuritis & Invstmnt Institut) Chrtr Insurnc Institut 5 ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 5 ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 5 Institut of Chrtr Scrtris & Aministrtors 5 Institut of Chrtr Scrtris & Aministrtors 5 Th Scuritis Assocition 5

26 Invstmnt Oprtions Crtifict Asst Srvicing Qulifiction Bsics of CREST Qulifiction Bon Sttlmnt Qulifiction CREST Sttlmnt Invstmnt Oprtions Crtifict CREST Sttlmnt Qulifiction Drivtivs Oprtions Qulifiction Exchng Tr Drivtiv Aministrtion Invstmnt Oprtions Crtifict Exchng Tr Drivtiv Aministrtion Qulifiction Glol Custoy Qulifiction Glol Sttlmnt Qulifiction ISA Aministrtion Invstmnt Oprtions Crtifict ISA Aministrtion Qulifiction ISA n PEP Aministrtion Qulifiction OEIC Aministrtion Qulifiction Oprtionl Risk Invstmnt Oprtions Crtifict Oprtionl Risk

27 Qulifiction OTC Drivtivs Aministrtion Invstmnt Oprtions Crtifict OTC Drivtivs Aministrtion Qulifiction PEP Aministrtion Qulifiction Portfolio Prformnc Msurmnt Qulifiction Privt Clint Aministrtion Invstmnt Oprtions Crtifict Privt Clint Aministrtion Qulifiction Unit Trust Aministrtion Crtifict in Collctiv Invstmnt Schm Aministrtion Crtifict n Compny Scrtril Prctic n Shr Rgistrtion Prctic (incluing th Rgultory moul within th xmintion) Mngmnt Awr In hous moul (only whr th firm cn monstrt tht non of th list xmintions is pproprit) Institut of Chrtr Scrtris & Aministrtors 6 Institut of Chrtr Scrtris & Aministrtors 6 Invstmnt Mngmnt Assocition 6 6 Qulifiction tl for : Ovrsing on y to y sis sfguring n ministring invstmnts or holing clint mony Activity numr 16 in TC Appnix 1.1.1R Qulifiction Qulifiction Provir Ky Mmr Assocition of Accounting Tchnicins 4 Fllow or Associt Assocition of Chrtr Crtifi Accountnts 4 Fllow or Associt Assocition of Corport Trsurrs 4 Fllow or Associt y CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 4 xmintion Invstmnt Mngmnt Crtifict CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 4

28 Fllow or Associt Chrtr Institut of Bnkrs in Irln 4 Crtifict in Invstmnt Plnning Chrtr Institut of Bnkrs in Scotln 4 Ppr 1 Fllow or Associt Chrtr Institut of Mngmnt Accountnts 4 Fllow or Associt Chrtr Institut of Pulic Finnc & Accountncy 4 Qulifiction Introuction to Scuritis n Invstmnt Invstmnt Oprtions Crtifict Introuction to Scuritis n Invstmnt Diplom Crtifict in Corport Finnc Crtifict in Drivtivs Ppr 2 Crtifict in Invstmnt Mngmnt Crtifict in Scuritis Ppr 2 Crtifict in Scuritis n Finncil Drivtivs Ppr 2 Clint Srvics Qulifiction Diplom Glol Oprtions Mngmnt Diplom Intrntionl Oprtions Diplom Oprtions Mngmnt Invstmnt Avic Crtifict Ppr 1 Mmrship of th Scuritis Institut y xmintion (Drivtivs) Unit 3 (Invstmnt Mngmnt) (Scuritis) Unit 2 (Scuritis & Finncil Drivtivs) Unit 4 SFA Corport Finnc Rprsnttiv

29 SFA Futurs n Options Rprsnttiv SFA Scuritis n Finncil Drivtivs Rprsnttiv SFA Scuritis Rprsnttiv Stock Exchng Rgistr Lonon Stock Exchng (rcors r now kpt y th Chrtr Institut for Scuritis & Invstmnt; Formrly th 4 Rprsnttiv Scuritis & Invstmnt Institut) Fllow or Associt Chrtr Insurnc Institut 4 Finncil Plnning Crtifict Chrtr Insurnc Institut 4 Ppr 1 Fllow or Associt Fculty or Institut of Acturis 4 Crtifict for Finncil Avisrs ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 4 Ppr 1 (Pr 31/10/2004) Fllow or Associt ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 4 Fllow or Associt Institut of Chrtr Accountnts in Engln & Wls 4 Fllow or Associt Institut of Chrtr Accountnts in Irln 4 Mmr Institut of Chrtr Accountnts in Scotln 4 Mmr or Associt Chrtr Institut of Bnkrs in Scotln 4 Crtifict in Collctiv Invstmnt Institut of Chrtr Scrtris & Aministrtors 4 Schm Aministrtion Crtifict in Compny Scrtril Institut of Chrtr Scrtris & Aministrtors 4 Prctic n Shr Rgistrtion Prctic (incluing Rgultory moul within th xmintion) Fllow or Associt Institut of Chrtr Scrtris & Aministrtors 4 Fllow or Associt Pnsions Mngmnt Institut 4 TSA Rgistr Rprsnttiv Th Scuritis Assocition 4 Invstmnt Mngmnt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 5 Crtifict Invstmnt Rgultion n Prctic Ppr of th Associt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 5 UK Rgultion n Mrkts vrsion of th Invstmnt Mngmnt Crtifict Crtifict in Invstmnt Plnning Ppr 1 Qulifiction SFA Rgultory Environmnt Unit 6 Principls of Finncil Rgultion CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Chrtr Institut of Bnkrs in Scotln 5 5

30 Crtifict in Invstmnt Mngmnt Diplom Glol Oprtions Mngmnt Diplom Intrntionl Oprtions Mngmnt Diplom Rgultion n Complinc Qulifiction IMRO Rgultory Environmnt Qulifiction FSA Rgultory Environmnt Invstmnt Oprtions Crtifict FSA Finncil Rgultion Invstmnt Avic Crtifict Ppr 1 (Invstmnt Mngmnt) Scuritis & Invstmnt Institut Unit 1 Finncil Rgultion (Formrly th Scuritis Institut Rgultory Ppr) SFA Futurs n Options Rprsnttiv SFA Rgistr Prsons Sction 1 (Rgultion) SFA Scuritis Rprsnttiv SFA Scuritis n Finncil Drivtivs Rprsnttiv Stock Exchng Rgistr Rprsnttiv Finncil Plnning Crtifict Ppr 1 Crtifict for Finncil Avisrs Ppr 1 pr 31/10/2004 Crtifict in Collctiv Invstmnt Schm Aministrtion Crtifict in Compny Scrtril Prctic n Shr Rgistrtion Lonon Stock Exchng (rcors r now kpt y th Chrtr Institut for Scuritis & Invstmnt; Formrly th 5 Scuritis & Invstmnt Institut) Chrtr Insurnc Institut 5 ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 5 Institut of Chrtr Scrtris & Aministrtors 5 Institut of Chrtr Scrtris & Aministrtors 5

31 Prctic (incluing th Rgultory moul within th xmintion) TSA Rgistr Rprsnttiv s Qulifiction Glol Scuritis Oprtions Invstmnt Oprtions Crtifict Glol Scuritis Oprtion Qulifiction Privt Clint Aministrtion Invstmnt Oprtions Crtifict Privt Clint Aministrtion Diplom Intrntionl Oprtions Mngmnt Diplom Glol Oprtions Mngmnt Diplom Oprtions Mngmnt Qulifiction Asst Srvicing Invstmnt Oprtions Crtifict Asst Srvicing Qulifiction Bsics of CREST Qulifiction Bon Sttlmnt Qulifiction - CREST Sttlmnt Invstmnt Oprtions Crtifict CREST Sttlmnt Qulifiction Drivtivs Oprtions Qulifiction Exchng-Tr Drivtiv Aministrtion Invstmnt Oprtions Crtifict Exchng Tr Drivtiv Th Scuritis Assocition 5

32 Aministrtion Qulifiction Glol Custoy Qulifiction Glol Sttlmnt Qulifiction ISA Aministrtion Invstmnt Oprtions Crtifict ISA Aministrtion Qulifiction ISA n PEP Aministrtion Qulifiction OEIC Aministrtion Qulifiction Oprtionl Risk Invstmnt Oprtions Crtifict Oprtionl Risk Qulifiction OTC Drivtivs Aministrtion Invstmnt Oprtions Crtifict OTC Drivtivs Aministrtion Qulifiction PEP Aministrtion Qulifiction Portfolio Prformnc Msurmnt Qulifiction Unit Trust Aministrtion Oprtions Crtifict Progrmm (OCP) Crtifict in Collctiv Invstmnt Schm Aministrtion Crtifict in Compny Scrtril Prctic n Shr Rgistrtion Prctic (incluing th Rgultory moul within th xmintion) ICMA Cntr/ Univrsity of Ring (Formrly ISMA Cntr/ Univrsity of Ring) 6 Institut of Chrtr Scrtris & Aministrtors 6 Institut of Chrtr Scrtris & Aministrtors 6

33 Mngmnt Awr In-hous moul (only whr th firm cn monstrt tht non of th list xmintions r pproprit) Invstmnt Mngmnt Assocition 6 6 Qulifiction tl for : Ovrsing on y to y sis ministrtiv functions in rltion to mnging invstmnts - (i) rrnging sttlmnt; - (ii) monitoring n procssing corport ctions; - (iii) clint ccount ministrtion, liison n rporting incluing vlution n prformnc msurmnt; - (iv) ISA, PEP or CTF ministrtion; - (v) Invstmnt trust svings schm ministrtion. Activity numr 17 in TC Appnix 1.1.1R Qulifiction Qulifiction Provir Ky Mmr Assocition of Accounting Tchnicins 4 Fllow or Associt Assocition of Chrtr Crtifi Accountnts 4 Fllow or Associt Assocition of Corport Trsurrs 4 Fllow or Associt y CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 4 xmintion Invstmnt Mngmnt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 4 Crtifict Fllow or Associt Chrtr Institut of Bnkrs in Irln 4 Crtifict in Invstmnt Plnning Chrtr Institut of Bnkrs in Scotln 4 Mmr or Associt Chrtr Institut of Bnkrs in Scotln 4 Fllow or Associt Chrtr Institut of Mngmnt Accountnts 4 Fllow or Associt Chrtr Institut of Pulic Finnc & Accountncy 4 Qulifiction Introuction to Scuritis n Invstmnt Invstmnt Oprtions Crtifict Introuction to Scuritis n Invstmnt Crtifict in Corport Finnc Crtifict in Drivtivs Ppr 2 Crtifict in Invstmnt Mngmnt Crtifict in Scuritis Ppr 2 Crtifict in Scuritis n Finncil Drivtivs Ppr 2 Clint Srvics Qulifiction

34 Diplom Diplom Glol Oprtions Mngmnt Diplom Intrntionl Oprtions Mngmnt Diplom Oprtions Mngmnt Invstmnt Avic Crtifict Ppr 1 Mmr of th Scuritis Institut y xmintion (Drivtivs) Unit 3 (Invstmnt Mngmnt) (Scuritis) Unit 2 (Scuritis & Finncil Drivtivs) Unit 4 SFA Corport Finnc Rprsnttiv SFA Futurs n Options Rprsnttiv SFA Scuritis Rprsnttiv SFA Scuritis n Finncil Drivtivs Rprsnttiv Stock Exchng Rgistr Lonon Stock Exchng (rcors r now kpt y th Chrtr Institut for Scuritis & Invstmnt; Formrly th 4 Rprsnttiv Scuritis & Invstmnt Institut) Fllow or Associt Chrtr Insurnc Institut 4 Finncil Plnning Crtifict Chrtr Insurnc Institut 4 Ppr 1 Fllow or Associt Fculty or Institut of Acturis 4 FSSC Avnc Apprnticship in Rtil Finncil Srvics (invstmnt Aministrtion Pthwy incluing th Introuction to Scuritis n Invstmnt moul) 4

35 Crtifict for Finncil Avisrs ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 4 Ppr 1 (Pr 31/10/2004) Fllow or Associt ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 4 Fllow or Associt Institut of Chrtr Accountnts in Engln & Wls 4 Fllow or Associt Institut of Chrtr Accountnts in Irln 4 Mmr Institut of Chrtr Accountnts in Scotln 4 Crtifict in Collctiv Invstmnt Institut of Chrtr Scrtris & Aministrtors 4 Schm Aministrtion Crtifict in Compny Scrtril Institut of Chrtr Scrtris & Aministrtors 4 Prctic n Shr Rgistrtion (incluing th Rgultory moul within th xmintion) Fllow or Associt Institut of Chrtr Scrtris & Aministrtors 4 Solicitor Lw Socity of Engln & Wls/ Lw Socity of Scotln/ Lw Socity of Northrn Irln 4 Fllow or Associt Pnsions Mngmnt Institut 4 TSA Rgistr Rprsnttiv Th Scuritis Assocition 4 s Invstmnt Mngmnt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 5 Crtifict Invstmnt Rgultion n Prctic Ppr of th Associt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 5 UK Rgultion n Mrkts vrsion of Invstmnt Mngmnt Crtifict Crtifict in Invstmnt Plnning Ppr 1 Qulifiction FSA Rgultory Environmnt Invstmnt Oprtions Crtifict FSA Finncil Rgultion Unit 6 Principls of Finncil Rgultion Crtifict in Invstmnt Mngmnt Diplom Glol Oprtions Mngmnt Diplom Intrntionl Oprtions Mngmnt Diplom Oprtions Mngmnt Diplom Rgultion n Complinc CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Chrtr Institut of Bnkrs in Scotln 5 5

36 Qulifiction IMRO Rgultory Environmnt Qulifiction SFA Rgultory Environmnt Invstmnt Avic Crtifict Ppr 1 (Invstmnt Mngmnt) Scuritis & Invstmnt Institut Unit 1 Finncil Rgultion (Formrly th Scuritis Institut Rgultory Ppr) SFA Futurs n Options Rprsnttiv SFA Rgistr Prsons Sction 1 (Rgultion) SFA Scuritis Rprsnttiv SFA Scuritis n Finncil Drivtivs Rprsnttiv Finncil Plnning Crtifict Chrtr Insurnc Institut 5 Ppr 1 FSSC Avnc Apprnticship in 5 Rtil Finncil Srvics ( Pthwy incluing FSA Rgultory Environmnt or Principls of Finncil Rgultion) Diplom in Cpitl Mrkts, ICMA Cntr/ Univrsity of Ring (Formrly ISMA Cntr/ Univrsity of Ring) 5 Rgultion n Complinc Oprtions Crtifict Progrmm ICMA Cntr/ Univrsity of Ring (Formrly ISMA Cntr/ Univrsity of Ring) 6 (OCP) Crtifict for Finncil Avisrs ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 5 Ppr 1 (Pr 31/10/2004) Crtifict in Collctiv Invstmnt Institut of Chrtr Scrtris & Aministrtors 5 Schm Aministrtion Crtifict in Compny Scrtril Institut of Chrtr Scrtris & Aministrtors 5 Prctic n Shr Rgistrtion (incluing th Rgultory moul within th xmintion)

37 Qulifiction Asst Srvicing Invstmnt Oprtions Crtifict Asst Srvicing Qulifiction CREST Sttlmnt Invstmnt Oprtions Crtifict CREST Sttlmnt Qulifiction Glol Scuritis Oprtion Invstmnt Oprtions Crtifict Glol Scuritis Qulifiction ISA n CTF Aministrtion moul Diplom Glol Oprtions Mngmnt Diplom Intrntionl Oprtions Mngmnt Diplom Oprtions Mngmnt Qulifiction Bsics of CREST moul Qulifiction Bon Sttlmnt Qulifiction Drivtivs Oprtions Qulifiction Exchng-Tr Drivtiv Aministrtion Invstmnt Oprtions Crtifict Exchng-Tr Drivtiv Aministrtion Qulifiction Glol Custoy Qulifiction Glol Sttlmnt Qulifiction ISA Aministrtion

38 Invstmnt Oprtions ISA Aministrtion Qulifiction OEIC Aministrtion Qulifiction Oprtionl Risk Invstmnt Oprtions Crtifict Oprtionl Risk Qulifiction - PEP Aministrtion Qulifiction Privt Clint Aministrtion Invstmnt Oprtions Crtifict Privt Clint Aminstrtion Qulifiction Unit Trust Aministrtion FSSC Avnc Apprnticship in Rtil Finncil Srvics ( Pthwy incluing ithr Asst Srvicing / CREST Sttlmnt / Glol Scuritis or ISA n CTF Aministrtion) Crtifict in Compny Scrtril Prctic n Shr Rgistrtion (incluing th Rgultory moul within th xmintion) Mngmnt Awr In hous moul (only whr th firm cn monstrt tht non of th list xmintions is pproprit) 6 Institut of Chrtr Scrtris & Aministrtors 6 Invstmnt Mngmnt Assocition 6 6

39 Qulifiction tl for : Crrying out on y to y sis ministrtiv functions in rltion to ffcting or crrying out contrcts of insurnc which r lif policis: - (i) nw usinss ministrtion; - (ii) policy ltrtions incluing surrnrs n policy lons; - (iii) prpring projctions; - (iv) procssing clims, incluing pnsion pymnts; - (v) fun switching Activity numr 18 in TC Appnix 1.1.1R Qulifiction Qulifiction Provir Ky Mmr Assocition of Accounting Tchnicins 4 Fllow or Associt Assocition of Chrtr Crtifi Accountnts 4 Fllow or Associt Assocition of Corport Trsurrs 4 Fllow or Associt y CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 4 xmintion Invstmnt Mngmnt CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 4 Crtifict Fllow or Associt Chrtr Institut of Bnkrs in Irln 4 Crtifict in Invstmnt Plnning Chrtr Institut of Bnkrs in Scotln 4 Ppr 1 Mmr or Associt Chrtr Institut of Bnkrs in Scotln 4 Fllow or Associt Chrtr Institut of Mngmnt Accountnts 4 Fllow or Associt Chrtr Institut of Pulic Finnc & Accountncy 4 Crtifict in Corport Finnc Crtifict in Drivtivs Ppr 2 Crtifict in Scuritis Ppr 2 Crtifict in Scuritis n Finncil Drivtivs Ppr 2 Clint Srvics Qulifiction Diplom Diplom Glol Oprtions Mngmnt Diplom Intrntionl Oprtions Diplom Oprtions Mngmnt Qulifiction Introuction to Scuritis n Invstmnt Invstmnt Oprtions Crtifict Introuction to Scuritis n Invstmnt

40 Invstmnt Avic Crtifict Ppr 1 Mmrship of th Scuritis Institut y xmintion (Drivtivs) Unit 3 (Invstmnt Mngmnt) (Scuritis) Unit 2 (Scuritis & Finncil Drivtivs) Unit 4 SFA Corport Finnc Rprsnttiv SFA Futurs n Options Rprsnttiv SFA Scuritis Rprsnttiv SFA Scuritis n Finncil Drivtivs Rprsnttiv Stock Exchng Rgistr Lonon Stock Exchng (rcors r now kpt y th Chrtr Institut for Scuritis & Invstmnt; Formrly th 4 Rprsnttiv Scuritis & Invstmnt Institut) CF1 UK finncil srvics, Chrtr Insurnc Institut 4 rgultion n thics Crtifict of Insurnc Prctic Chrtr Insurnc Institut 4 Fllow or Associt Chrtr Insurnc Institut 4 Finncil Plnning Crtifict Chrtr Insurnc Institut 4 Ppr 1 Fllow or Associt Fculty or Institut of Acturis 4 FSSC Avnc Apprnticship in 4 Rtil Finncil Srvics (Long Trm Insurnc Pthwy incluing CF1) Crtifict for Finncil Avisrs ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 4 Ppr 1 (Post 1/11/2004) Crtifict for Finncil Avisrs ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 4 Ppr 1 (Pr 31/10/2004) Fllow or Associt ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 4 Fllow or Associt Institut of Chrtr Accountnts in Engln & Wls 4

41 Fllow or Associt Institut of Chrtr Accountnts in Irln 4 Mmr Institut of Chrtr Accountnts in Scotln 4 Crtifict in Collctiv Invstmnt Institut of Chrtr Scrtris & Aministrtors 4 Schm Aministrtion Fllow or Associt Institut of Chrtr Scrtris & Aministrtors 4 Solicitor Lw Socity of Engln n Wls/ Lw Socity of Scotln/ Lw Socity of Northrn Irln 4 Fllow or Associt Pnsions Mngmnt Institut 4 TSA Rgistr Rprsnttiv Th Scuritis Assocition 4 s Crtifict in Invstmnt Plnning Chrtr Institut of Bnkrs in Scotln 5 Ppr 1 Diplom Rgultion n Complinc Ppr Qulifiction IMRO Rgultory Environmnt Qulifiction SFA Rgultory Environmnt Qulifiction Unit 2 FSA Rgultory Environmnt (Formrly th Invstmnt Aministrtion Qulifiction Rgultory Environmnt ) Invstmnt Oprtions Crtifict FSA Finncil Rgultion Invstmnt Avic Crtifict Ppr 1 Principls of Finncil Rgultion Scuritis & Invstmnt Institut Unit 1 Finncil Rgultion (Formrly th Scuritis Institut Rgultory Ppr) SFA Rgistr Prsons Sction 1 (Rgultion) CF1 UK finncil srvics, Chrtr Insurnc Institut 5 rgultion n thics Finncil Plnning Crtifict Chrtr Insurnc Institut 5 Ppr 1 FSSC Avnc Apprnticship in Rtil Finncil Srvics (Long Trm Insurnc Pthwy incluing 5

42 CF1) Crtifict for Finncil Avisrs Ppr 1 (Post 1/11/2004) Crtifict for Finncil Avisrs Ppr 1 (Pr 31/10/2004) Crtifict in Collctiv Invstmnt Schm Aministrtion UK Rgultion n Mrkts vrsion of Invstmnt Mngmnt Crtifict Qulifiction Lif Policy Aministrtion Invstmnt Avic Crtifict Ppr 2 Crtifict of Insurnc Prctic (lif or pnsions rout) Fllow or Associt (lif n pnsions rout only) Finncil Plnning Crtifict Ppr 2 Lif ssurnc ppr (735) from th Associtship Pnsions lw, txtion n ministrtion ppr (740) from th Associtship ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 5 ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 5 Institut of Chrtr Scrtris & Aministrtors 5 CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt Chrtr Insurnc Institut 6 Chrtr Insurnc Institut 6 Chrtr Insurnc Institut 6 Chrtr Insurnc Institut 6 Chrtr Insurnc Institut 6 FA1 Lif offic ministrtion Chrtr Insurnc Institut 6 FA2 Pnsions ministrtion Chrtr Insurnc Institut 6 ppr Fllow or Associt Fculty or Institut of Acturis 6 FSSC Avnc Apprnticship in Rtil Finncil Srvics (Long Trm Insurnc Pthwy incluing CF1 n ithr FA1 or FA2) 6 Crtifict for Finncil Avisrs ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 6 Ppr 2 (Pr 31/10/2004) Initil Tst of Comptnc Institut of Chrtr Accountnts in Engln & Wls 6 B(i), Rtil Brn/ Lw Socity of Engln & Wls 6 Pckg Proucts Diplom in Mmr-Dirct Pnsions Mngmnt Institut 6 Pnsion Schm Aministrtion Fllow or Associt (y Pnsions Mngmnt Institut 6 xmintion) In-hous moul (only whr th firm cn monstrt tht non of 6 6

43 th list xmintions r pproprit) Qulifiction tl for : Ovrsing on y to y sis ministrtiv functions in rltion to th oprtion of stkholr pnsion schms: - (i) nw usinss ministrtion; - (ii) rcipt of or ltrtion to contriutions; - (iii) prpring projctions n nnul sttmnts; - (iv) ministrtion of trnsfrs; - (v) hnling clims, incluing pnsion pymnts; - (vi) fun lloction n switching. Activity numr 19 in TC Appnix 1.1.1R Qulifiction Qulifiction Provir Ky FSSC Avnc Apprnticship in 1 Rtil Finncil Srvics (Long Trm Insurnc Pthwy incluing CF1 & FA2) Mmr Assocition of Accounting Tchnicins 4 Fllow or Associt Assocition of Chrtr Crtifi Accountnts 4 Fllow or Associt Assocition of Corport Trsurrs 4 Fllow or Associt y CFA Socity of UK (Formrly th Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 4 xmintion Invstmnt Mngmnt CFA Socity of UK (Formrly th Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 4 Crtifict Fllow or Associt Chrtr Institut of Bnkrs in Irln 4 Crtifict in Invstmnt Plnning Chrtr Institut of Bnkrs in Scotln 4 Ppr 1 Mmr or Associt Chrtr Institut of Bnkrs in Scotln 4 Fllow or Associt Chrtr Institut of Mngmnt Accountnts 4 Fllow or Associt Chrtr Institut of Pulic Finnc n Accountncy 4 Crtifict in Corport Finnc Crtifict in Drivtivs Ppr 2 Crtifict in Invstmnt Mngmnt Crtifict in Scuritis Ppr 2 Crtifict in Scuritis n Drivtivs Ppr 2 Clint Srvics Qulifiction Diplom Diplom Glol Oprtions Mngmnt Diplom Intrntionl Oprtions

44 Diplom Oprtions Mngmnt Qulifiction Introuction to Scuritis n Invstmnt Invstmnt Oprtions Crtifict Introuction to Scuritis n Invstmnt Invstmnt Avic Crtifict Ppr 1 Mmr of th Scuritis Institut y xmintion (Drivtivs) Unit 3 (Invstmnt Mngmnt) (Scuritis) Unit 2 (Scuritis & Finncil Drivtivs) Unit 4 SFA Corport Finnc Rprsnttiv SFA Futurs n Options Rprsnttiv SFA Scuritis n Finncil Drivtivs Rprsnttiv SFA Scuritis Rprsnttiv CF1 UK finncil srvics, Chrtr Insurnc Institut 4 rgultion n thics Stock Exchng Rgistr Lonon Stock Exchng (rcors r now kpt y th Chrtr Institut for Scuritis & Invstmnt; Formrly th 4 Rprsnttiv Scuritis & Invstmnt Institut) Fllow or Associt Chrtr Insurnc Institut 4 Finncil Plnning Crtifict Chrtr Insurnc Institut 4 Ppr 1 Fllow or Associt Fculty or Institut of Acturis 4 Crtifict for Finncil Avisrs Ppr 1 (Post 1/11/2004) ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 4

45 Crtifict for Finncil Avisrs ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 4 Ppr 1 (Pr 31/10/2004) Fllow or Associt ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 4 Fllow or Associt Institut of Chrtr Accountnts in Engln & Wls 4 Fllow or Associt Institut of Chrtr Accountnts in Irln 4 Mmr Institut of Chrtr Accountnts in Scotln 4 Crtifict in Collctiv Invstmnt Institut of Chrtr Scrtris & Aministrtors 4 Schm Aministrtion Fllow or Associt Institut of Chrtr Scrtris & Aministrtors 4 Solicitor Lw Socity of Engln & Wls/ Lw Socity of Scotln/ Lw Socity of Northrn Irln 4 Fllow or Associt Pnsions Mngmnt Institut 4 TSA Rgistr Rprsnttiv Th Scuritis Assocition 4 s UK Rgultion n Mrkts CFA Socity of UK (Formrly Unit Kingom Socity of Invstmnt Profssionls/ Institut of Invstmnt 5 vrsion of th Invstmnt Mngmnt Crtifict Crtifict in Invstmnt Plnning Chrtr Institut of Bnkrs in Scotln 5 Ppr 1 Diplom Rgultion n Complinc moul Qulifiction IMRO Rgultory Environmnt Qulifiction Unit 2 FSA Rgultory Environmnt (Formrly th Invstmnt Aministrtion Qulifiction Rgultory Environmnt ) Invstmnt Oprtions Crtifict FSA Finncil Rgultion Invstmnt Avic Crtifict Ppr 1 Principls of Finncil Rgultion Scuritis & Invstmnt Institut Unit 1 Finncil Rgultion (Formrly th Scuritis Institut Rgultory Ppr) SFA Rgistr Prsons Sction 1 (Rgultion) CF1 UK finncil srvics, Chrtr Insurnc Institut 5 rgultion n thics Finncil Plnning Crtifict Chrtr Insurnc Institut 5

46 Ppr 1 Crtifict for Finncil Avisrs ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 5 Ppr 1 (Pr 31/10/2004) Crtifict for Finncil Avisrs ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 5 Ppr 1 (Post 01/11/2004) Invstmnt Avic Crtifict Ppr 2 Qulifiction Pnsions Aministrtion moul FA2 Pnsions ministrtion Chrtr Insurnc Institut 6 ppr Crtifict of Insurnc Prctic Chrtr Insurnc Institut 6 (Pnsions rout) Fllow or Associt (Pnsions Chrtr Insurnc Institut 6 rout) Finncil Plnning Crtifict Chrtr Insurnc Institut 6 Ppr 2 Pnsions lw, txtion n Chrtr Insurnc Institut 6 ministrtion ppr (740) from th Associtship Associt or Fllow Fculty or Institut of Acturis 6 Crtifict for Finncil Avisrs ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 6 Ppr 2 (Pr 31/10/2004) Initil Tst of Comptnc Institut of Chrtr Accountnts in Engln & Wls 6 Initil Tst of Comptnc Institut of Chrtr Accountnts in Irln 6 Initil Tst of Comptnc Institut of Chrtr Accountnts in Scotln 6 B(i) Rtil Brn/ Lw Socity of Engln & Wls 6 Pckg Proucts Fllow or Associt (y Pnsions Mngmnt Institut 6 xmintion) In hous moul (only whr th firm cn monstrt tht non of th list xmintions is pproprit) 6 Qulifiction tl for : Avising customr on rgult mortgg contrct (for non-usinss purpos) Activity numr 20 in TC Appnix 1.1.1R Qulifiction Qulifiction Provir Ky Mortgg Avic n Prctic Chrtr Institut of Bnkrs in Scotln 1 Crtifict Crtifict in Mortgg Avic n Chrtr Institut of Bnkrs in Scotln 1

47 Prctic (MAPC) (Pr 16/09/2004) MAPC rig ppr plus ntry Chrtr Institut of Bnkrs in Scotln 1 rquirmnts (Pr 31/10/2004) Crtifict in Mortgg Avic Chrtr Insurnc Institut 1 Mortgg Avic Qulifiction Chrtr Insurnc Institut 1 (MAQ) plus ntry rquirmnts FSSC Avnc Apprnticship in 1 Avising on Finncil Proucts (Mortgg Avic Pthwy) Crtifict in Mortgg Avic n ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 1 Prctic (Post 1/11/2004) Diplom for Mortgg Avic n ifs School of Finnc 1 Prctic DipMAP (plus ntry rquirmnts) Crtifict in Mortgg Avic n ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 1 Prctic (CMAP) (Pr 31/10/2004) CMAP Brig ppr plus ntry ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 1 rquirmnts Crtifict in Invstmnt Plnning Chrtr Institut of Bnkrs in Scotln 3 Ppr 1 (Pr 16/09/2004) MAPC Ppr 1 (Pr 16/09/2004) Chrtr Institut of Bnkrs in Scotln 3 Mortgg Avic n Prctic Chrtr Institut of Bnkrs in Scotln 3 Crtifict Ppr 1 (Post 17/09/2004) Invstmnt Avic Crtifict Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Ppr 1 (No nw rgistrtions) Crtifict in Mortgg Avic Chrtr Insurnc Institut 3 Ppr 1 Finncil Plnning Crtifict Chrtr Insurnc Institut 3 Ppr 1 (No rgistrtions ftr 17/12/2004) Crtifict in Mortgg Avic n ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 3 Prctic Ppr 1 (Post 1/11/2004) Crtifict for Finncil Avisrs ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 3 Ppr 1 (Pr 31/10/2004) Crtifict in Mortgg Avic n Prctic (CMAP) Ppr 1 (Pr 31/10/2004) ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 3 Qulifiction tl for : Avising customr on Equity rls trnsctions Activity numr 21 in TC Appnix 1.1.1R

48 Qulifiction Qulifiction Provir Ky Crtifict in Equity Rls Chrtr Insurnc Institut 1 (Formrly known s Crtifict in Finncil Plnning n Liftim Mortggs) Crtifict in Rgult Equity ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 1 Rls (Formrly known s Crtifict in Liftim Mortggs) Equity Rls Mortgg Avic & Chrtr Institut of Bnkrs in Scotln 1 Prctic Crtifict (ERMAPC) Crtifict in Mortgg Avic n Chrtr Institut of Bnkrs in Scotln 1 Prctic (MAPC) (Pr 16/09/2004) Liftim Mortgg Avic n Chrtr Institut of Bnkrs in Scotln 1 Prctic Crtifict MAPC Brig ppr plus ntry Chrtr Institut of Bnkrs in Scotln 1 rquirmnts (Pr 16/09/2004) Mortgg Avic Qulifiction Chrtr Insurnc Institut 1 (MAQ) plus ntry rquirmnts CMAP rig ppr plus ntry ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 1 rquirmnts (Pr 31/19/2004) Crtifict in Mortgg Avic n ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 1 Prctic (CMAP) (Pr 31/10/2004) Crtifict in Invstmnt Plnning Chrtr Institut of Bnkrs in Scotln 3 Ppr 1 (Pr 16/09/2004) Crtifict in Mortgg Avic n Chrtr Institut of Bnkrs in Scotln 3 Prctic (MAPC) Ppr 1 (Pr 16/09/2004) Mortgg Avic n Prctic Chrtr Institut of Bnkrs in Scotln 3 Crtifict Ppr 1 (Post 17/09/2004) Crtifict in Invstmnt n Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Finncil Avic Ppr 1 Invstmnt Avic Crtifict Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Ppr 1 (No nw rgistrtions) Crtifict in Mortgg Avic Chrtr Insurnc Institut 3 Ppr 1 Crtifict in Mortgg Avic Chrtr Insurnc Institut 3 Ppr 1 Finncil Plnning Crtifict Chrtr Insurnc Institut 3 Ppr 1 (No nw rgistrtions ftr 17/12/2004) Crtifict in Mortgg Avic n Prctic (Post 1/11/2004) Ppr ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 3

49 1 Crtifict for Finncil Avisrs Ppr 1 (Pr 31/10/2004) Crtifict in Mortgg Avic n Prctic (CMAP) Ppr 1 (Pr 31/10/2004) ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 3 ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 3 Qulifiction tl for : Dsigning script qustions for us in sls to customrs of rgult liftim mortgg contrcts which o not involv prsonl rcommntions Activity numr 22 in TC Appnis 1.1.1R Qulifiction Qulifiction Provir Ky Equity Rls Mortgg Avic & Chrtr Institut of Bnkrs in Scotln 1 Prctic Crtifict (ERMAPC) Crtifict in Mortgg Avic n Chrtr Institut of Bnkrs in Scotln 1 Prctic (MAPC) (Pr 16/09/2004) Liftim Mortgg Avic n Chrtr Institut of Bnkrs in Scotln 1 Prctic Crtifict MAPC rig ppr plus ntry Chrtr Institut of Bnkrs in Scotln 1 rquirmnts (Pr 16/09/2004) Crtifict in Equity Rls Chrtr Insurnc Institut 1 Mortgg Avic Qulifiction Chrtr Insurnc Institut 1 (MAQ) plus ntry rquirmnts Crtifict in Rgult Equity ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 1 rls Crtifict in Mortgg Avic n ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 1 Prctic (CMAP) (Pr 31/10/2004) CMAP rig ppr plus ntry ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 1 rquirmnts (Pr 31/10/2004) Crtifict in Invstmnt Plnning Chrtr Institut of Bnkrs in Scotln 3 Ppr 1 (Pr 16/09/2004) Crtifict in Mortgg Avic n Chrtr Institut of Bnkrs in Scotln 3 Prctic (MAPC) Ppr 1 (Pr 16/09/2004) Crtifict in Invstmnt n Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Finncil Avic Ppr 1 Invstmnt Avic Crtifict Th Chrtr Institut for Scuritis & Invstmnt (Formrly th Scuritis & Invstmnt Institut) 3 Ppr 1 (No nw rgistrtions) Finncil Plnning Crtifict Chrtr Insurnc Institut 3 Ppr 1 (No nw rgistrtions ftr 17/12/2004) Crtifict for Finncil Avisrs ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 3

50 Ppr 1 (Pr 31/10/2004) Qulifiction tl for : Ovrsing non-vis sls on y-to-y sis on Equity rls trnsctions Activity numr 23 in TC Appnix 1.1.1R Qulifiction Qulifiction Provir Ky Crtifict in Equity Rls Chrtr Insurnc Institut 4 Crtifict in Rgult Equity Rls ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 4 Equity Rls Mortgg Avic & Prctic Crtifict Chrtr Institut of Bnkrs in Scotln 4 (ERMAPC) Crtifict in Equity Rls Chrtr Insurnc Institut 5 Crtifict in Rgult Equity Rls ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 5 Equity Rls Mortgg Avic & Prctic Crtifict Chrtr Institut of Bnkrs in Scotln 5 (ERMAPC) Crtifict in Equity Rls Chrtr Insurnc Institut 6 Crtifict in Rgult Equity Rls ifs School of Finnc (Formrly th Chrtr Institut of Bnkrs) 6 Equity Rls Mortgg Avic & Prctic Crtifict (ERMAPC) Chrtr Institut of Bnkrs in Scotln 6

51