FSA Qualifications

Dec 03, 2003 2 Replies
R

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

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

Rob Graham

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M

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

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