FA APPENDIX

CATEGORY: FINANCIAL ADVISING APPENDIX 1: CHARTERED INSURANCE INSTITUTE 课程第三方培训机构名录及联系方式 机构名称 官方已认证 http://www.cii.co.uk/financialservices/trainingandlearning/acp/acp_about.aspx 官方未认证* BPP Professional Education Kaplan Financial Reed Learning * 未列入官方网站的认证培训机构名单中 地址 电话 网址 3 London Wall Buildings, London Wall, London, EC2M 5PD Ground Floor, 4 Royal Mint Court, London, EC3N 4HJ +44 020 77865999 +44 0845 4508992 www.bpp.com www.kaplanfinancial.co.uk APPENDIX 2: CHARTERED INSURANCE INSTITUTE 学习资源 STUDY MATERIALS Study texts / Coursebook + Electronic updating service The study text is provided for the distant learning course. Electronic updates for the study text purchased will automatically be made available free of charge to all purchasers for the duration of the exam period to which the study text applies. Full details are provided with each study text purchased. Candidates will also have access to an unrivalled suite of online services to support their studies. To be delivered during the course of 2007 / first quarter 2008 these will include a multiple choice test facility covering each chapter, definition of key terms, specimen exam and hints and tips. There will also be additional learning content providing worked examples and essential facts. Candidates will also access a study planner that includes a test-tracking facility which records study undertaken against a personally selected study plan. Full details will be provided with their study text. Examination guides These comprise a complete specimen paper and answers, which also highlight the syllabus areas covered, and include useful hints on how to pass the exam. These are available online at www.cii.co.uk being supplied as PDF files for candidates to print off as and when required for their own use. Note: the content of the latest exam guide is included within the online support services provided with all study text purchase. The specimen examination within the exam guide is produced in exactly the same way as the public examinations. The CII does not publish previous multiple-choice examination papers. 1 This list is originally compiled by Xiaochi (Vivian) Jin for Silver Grand Financial Resource. All contents are strictly confidential and for internal use ONLY. If you think anything is incorrect or missing, please contact xjin@silvergrandfinance.com. CATEGORY: FINANCIAL ADVISING The multiple-choice questions for each examination paper are randomly selected from a large question bank and questions may be re-used in future sittings. To publish past papers would mean disclosing our question bank. (http://www.cii.co.uk/cii/about/faq.aspx#Exams) Key facts booklets Comprehensive pocket-sized booklets summarise the key information contained in the study text. These are perfect for studying when travelling to and from work or in situation when reading a study text is impractical. Case study workbook A series of case studies were developed by the CII and Taxbriefs which focus on applying candidates' knowledge to case study questions. Solutions are given, along with tips on approach and structure of their answers in the exam. DISTANT LEARNING The CII’s distance learning courses provide candidates with a structured and progressive route to study. Through the submission of work to expert tutors, candidates are able to gain valuable feedback on progress and test their understanding of the course material in preparation for CII examinations. (http://www.cii.co.uk/financialservices/trainingandlearning.aspx) The distant learning course includes the provision of a coursebook and updates developed to assist candidates in understanding and learning the topics covered by the exam syllabus. Candidates will also receive 5 exam preparation exercises, each focused on a different area of the exam syllabus to support structured study. Candidates' assigned expert tutor will mark these to exam standards, returning them with model answers and individual feedback on how candidates can improve their answers and exam technique. Additionally candidates will receive details on how other candidates performed on specific questions and question types in past exams and practical guidance on effective exam preparation. Full details will be provided with their coursebook. (http://www.cii.co.uk/downloaddata/Dip_AdvDip_FP_Brochure08.pdf, page 15) FACE-TO-FACE TRAINING (http://www.cii.co.uk/financialservices/trainingandlearning/revision.aspx) Intensive revision courses These intensive revision courses are ideal if you find it difficult to set aside regular time for study, providing a valuable aid to fast-track revision. The courses either include an exam or mock exam (see individual timetables for this information) on the afternoon of the final day. They are structured to provide intensive face-to-face tuition concentrating on key elements of the syllabus in preparation for the exam. The tutor will also provide suggestions for effective revision and techniques for the exam itself which will aid your exam preparation. The interactive nature of these courses provides you with the opportunity to discuss specific elements with the tutor, practise answering questions and gain feedback on your answers. By sitting the exam at the end of the course you can ensure that you will be thoroughly prepared, ultimately increasing your chances of exam success. Key benefits: Obtain detailed coverage of the syllabus 2 This list is originally compiled by Xiaochi (Vivian) Jin for Silver Grand Financial Resource. All contents are strictly confidential and for internal use ONLY. If you think anything is incorrect or missing, please contact xjin@silvergrandfinance.com. CATEGORY: FINANCIAL ADVISING Clarify areas of concern in the syllabus Learn what the examiner is looking for Discuss the main mistakes made by candidates and how to avoid them Learn useful revision and exam techniques Includes full/mock exam (check individual timetable) It is recommended that candidates read through the coursebook at least once before they attend the course. (http://www.cii.co.uk/cii/about/faq.aspx#Face-To-Face%20Training) Revision Workshops and six/eight week evening classes These revision workshops/evening classes provide a valuable aid to revision in the weeks before the exam and are designed to improve your chances of exam success. They are structured to provide face-to-face tuition concentrating on key elements of the syllabus, suggestions for effective revision and techniques for the exam itself. The interactive nature of the course provides you with the opportunity to discuss specific elements with the tutor, practise answering questions and gain feedback on your answers. Key benefits: Obtain detailed coverage of the syllabus Clarify areas of concern in the syllabus Learn what the examiner is looking for Discuss the main mistakes made by candidates and how to avoid them Learn useful revision and exam techniques Revision Days These revision courses provide a valuable aid to revision in the weeks before the exam and are designed to improve your chances of exam success. The programme is structured to concentrate on the key elements of the syllabus, suggestions for effective revision and techniques for the exam. Key benefits: Obtain detailed coverage of the syllabus Clarify areas of concern in the syllabus Learn what the examiner is looking for Discuss the main mistakes made by candidates and how to avoid them Learn useful revision and exam techniques It is essential that candidates have studied the coursebook before attending a revision day. (http://www.cii.co.uk/cii/about/faq.aspx#Face-To-Face%20Training) Full-time intensive courses http://www.cii.co.uk/downloaddata/FTF_Training_Directory_2008.pdf, page 31 3 This list is originally compiled by Xiaochi (Vivian) Jin for Silver Grand Financial Resource. All contents are strictly confidential and for internal use ONLY. If you think anything is incorrect or missing, please contact xjin@silvergrandfinance.com. CATEGORY: FINANCIAL ADVISING E-LEARNING ed. ® (http://www.ed.cii.co.uk/, http://www.cii.co.uk/cii/about/faq.aspx#Exams) Demo: http://www.ed.cii.co.uk/catalogue/default.asp ed. ® is split into two main product areas, ed.LEARN® and edASSESS. edASSESS® is a comprehensive range of training and assessment tools to keep you up to date with regulatory, legislative and market changes to demonstrate compliance with regulator's T & C rules. There are four versions of ASSESS available: insurance ASSESS financial ASSESS mortgage ASSESS broker ASSESS The main components of the ASSESS products are interactive tutorials, key facts (plus case studies for broker ASSESS), and the knowledge assessment system. ed.LEARN® is an online system designed to accelerate and enhance study for qualifications and activity aimed at maintaining competence. ed.LEARN® provides users studying for a specific exam subject with an on-line interactive e-learning course for revision purposes. Each e-learning course contains a tutorial and revision test. You also have the option of adding an on-line copy of the coursebook ('e-learning plus'). ed.LEARN® comprises of two main services: Online learning - designed for candidates studying for CII qualifications, providing users with access to the market's leading range of learning and revision material relating to insurance and financial services subjects. Assessment products - a comprehensive, co-ordinated range of technical training and assessment tools designed to keep staff up-to-date with regulatory, legislative and market changes. Computer-based training CD-ROM The same tutorial and assessment tool as ed.LEARN®, but supplied on CD-ROM. The CD-ROM is for individual users only and is not to be networked or lent to other. Corporate licences are available on request from CII's Customer Service. Winning the brain game CD-ROM Improving study and exam techniques can help everyone, at whatever age, and whatever the qualification. This is a highly inventive and fully interactive programme. The Daily Telegraph said of this "A top five star rating for originality". Operates on all Windows software. APPENDIX 3: CHARTERED INSURANCE INSTITUTE 课程第三方培训机构学习资源 4 This list is originally compiled by Xiaochi (Vivian) Jin for Silver Grand Financial Resource. All contents are strictly confidential and for internal use ONLY. If you think anything is incorrect or missing, please contact xjin@silvergrandfinance.com. CATEGORY: FINANCIAL ADVISING BPP PROFESSIONAL EDCUATION (http://www.bpp.com/page.asp?w=15&Ref=2&usertyperef=2&exambodyref=7&pagetyperef=10155&parentref=2&locpagetyperef=-1&locationref=-1&easyread=-1, http://www.bpp.com/page.asp?w=15&Ref=2&usertyperef=2&exambodyref=24&pagetyperef=10028&parentref=1&locpagetyperef=-1&locationref=-1&easyread=-1) Our distance learning packs for Home Study have been written and developed by our experienced team of authors. Delegates won't need to purchase any other study materials as our pack includes all of the following. Study Texts All the knowledge you need for the exam in a practical and user-friendly format, with free Updates. It focuses on the assessment method used for each exam, and a full Practice Examination is included in each Study Text. Study Programme A helping hand to structure your studies with invaluable tips on how to organise your study time, whilst ensuring you cover the whole syllabus. Passcards Sample chapter: http://www.bpp.com/fplanning/FP_Passcards_Sample.pdf Our Passcards set out the key facts you need to know for the exam. Pocket or handbag-size, spiral bound cards and their succinct summary of the key points make them handy revision tools Aid revision by giving clear, visual emphasis to key points Follow the same order as the Study Text Review Exercises A handy pocket-sized revision tool packed full of quick questions and answers designed to consolidate your knowledge. BPP i-Pass CD-ROM Instructions on how to download a Demo of i-Pass CDs: http://www.bpp.com/page.asp?w=15&Ref=53&usertyperef=2&genpagetyperef=12&genpagecontentref=94 Regularly updated, BPP i-Pass CD-ROMs are designed to test knowledge and perfect exam technique. BPP i-Pass CDs allow you to: Simulate exam timings and choose the length of the test Create multiple tests on the areas you want to be tested on BPP's i-Pass CD-ROMs complement the Study Texts and provide the question practice that is vital to exam success. Many of the financial adviser exams use Objective Test (multiple choice) questions as the main method of knowledge testing. BPP i-Pass presents students with self-test questions and randomly generated multiple choice tests to answer on screen at a PC. Each CD offers testing against the clock and feedback is given for each question answered. 5 This list is originally compiled by Xiaochi (Vivian) Jin for Silver Grand Financial Resource. All contents are strictly confidential and for internal use ONLY. If you think anything is incorrect or missing, please contact xjin@silvergrandfinance.com. CATEGORY: FINANCIAL ADVISING Course Exams The most realistic mock exams available provide unbeatable practice for the real thing. All our questions are accompanied by full answer explanations so you can build your knowledge and perfect your exam technique. Study Support Our dedicated support services will ensure you feel totally prepared and confident when the exam day comes. Round-the-Clock Author Support - our expert authors are easily contactable for individual help, motivation and advice whenever you need it BPP E-Mentor - This interactive study planner delivers targeted emails to guide you through a thorough study programme and bench-mark your progress. Built-in weekly quizzes test, assess and reinforce your knowledge Online Glossary Demystify financial terms with this jargon-free key word search facility. Practice & Revision Kit For selected papers (AFPC G10 and G60) only, it develop candidates’ exam skills with a Practice & Revision Kit containing a bank of exam questions and answers, with additional full-length practice exams. (http://www.bpp.com/page.asp?w=15&Ref=2&usertyperef=2&exambodyref=24&pagetyperef=8&parentref=2&locpagetyperef=-1&locationref=-1&easyread=-1) APPENDIX 4: SECURITIES AND INVESTMENT INSTITUTE 课程第三方培训机构名录及联系方式 机构名称 官方已认证 BPP Professional Education Kaplan Financial 7city Learning CRESTCO (part of Euroclear) Financial News Limited TISA CCL Compliance Consultants Ltd 上海金程国际金融培训中心 3 London Wall Buildings, London Wall, London, EC2M 5PD Ground Floor, 4 Royal Mint Court, London, EC3N 4HJ 4 Chiswell Street, London, EC1Y 4UP 33 Cannon Street, London, EC4M 5SB Stapleton House, 29-33 Scrutton Street, London, EC2A 4HU Cleveland Business Centre, Middlesbrough, TS1 2RQ 26 Throgmorton Street, London, EC2N 2AN (London Office) 上海市邯郸路 159 号上豪大厦 6 楼 F 座 +44 020 77865999 +44 0845 4508992 +44 020 74968600 +44 020 78490031 +44 020 77490230 +44 01642 207209 +44 020 7626 2000 +86 021 65555148; 65529897 www.bpp.com www.kaplanfinancial.co.uk www.7city.com www.crestco.co.uk www.efinancialnews.com www.tisa.uk.com www.cclcompliance.com www.gfedu.net 6 This list is originally compiled by Xiaochi (Vivian) Jin for Silver Grand Financial Resource. All contents are strictly confidential and for internal use ONLY. If you think anything is incorrect or missing, please contact xjin@silvergrandfinance.com. 地址 电话 网址 CATEGORY: FINANCIAL ADVISING 南开大学深圳金融工程学院 中融教育 道明诚金融培训中心 才富培训上海有限公司 香港证券专业学会 官方未认证* 北京财商教育培训 深圳市西丽大学城南开校区 北京市朝阳区东三环中路 39 号建外 SOHO14 号楼 2202 室 上海市徐汇区番禺路 667 号南洋大楼 5 楼 E 座 上海复兴中路 1195 号上海理工大学中英国际学院办公楼 1 楼 香港干诺道中 111 号永安中心 24 楼 2403-08 室 北京朝阳区西坝河南路甲 1 号新天第 B 座 2701 室 +86 0755 26039363; 26039109 +86 010 58697145; 58697146 +86 021 52300567; 52300568 +86 021 64741391 +852 31206100 +86 010 51653548; 64466609 fe.nankai.edu.cn www.sinron.cn www.dmc-edu.com www.ftcchina.com www.hksi.org www.fubaba.com * 未列入官方网站的认证培训机构名单中 APPENDIX 5: SECURITIES AND INVESTMENT INSTITUTE 学习资源 STUDY MATERIALS Workbook SII’s online bookshop: http://www.sii.org.uk/web5/infopool.nsf/HTML/ob_home?OpenDocument The SII’s authoritative syllabus-based Workbooks contain: a syllabus learning map revision questions sample multiple choice questions clear explanations graphics and tables a comprehensive glossary a workbook plan a free pocket prompt E-LEARNING SII E-learning products are high quality, interactive and engaging learning tools and revision aids which can be used in conjunction with SII workbooks, or to help you remain up to date 7 This list is originally compiled by Xiaochi (Vivian) Jin for Silver Grand Financial Resource. All contents are strictly confidential and for internal use ONLY. If you think anything is incorrect or missing, please contact xjin@silvergrandfinance.com. CATEGORY: FINANCIAL ADVISING with regulatory developments in order to meet compliance requirements. eIAQ™ (http://www.sii.org.uk/web5/infopool.nsf/HTML/reIAQ) eIAQ™ is an online learning and revision aid, concentrating on syllabus key areas. Used in conjunction with the relevant IAQ workbook, eIAQ consists of interactive exercises and over 200 questions per subject. Its key features include: examination focused - the content of eIAQ™ covers the key points of the syllabus questions throughout, as well as at the end of each module, help reaffirm understanding of the subject (at least 200 per module) interactive exercises and printable study notes extensive online glossary of terms study when and where you like eINTRO™ (http://www.sii.org.uk/web5/infopool.nsf/HTML/rEINTRO) eINTRO™ is an interactive and engaging method of study, which is particularly useful for busy professionals. It consists of a number of interactive exercises and over 200 multiple choice questions. Its key features include: examination focused - the content of eINTRO™ covers the key points of the syllabus questions throughout, as well as at the end of each module, help reaffirm understanding of the subject (at least 200 per module) interactive exercises and printable study notes extensive online glossary of terms study when and where you like! Revision Express (http://www.sii.org.uk/web5/infopool.nsf/HTML/rRevisionExpress) Revision Express Online has been updated to help you even more with your revision. Following careful study of your SII workbook, you can test yourself on particular chapters or simulate either a one-hour or half-hour test. A summary of the test results is produced: you can recap on any of the incorrect answers – with the correct answer shown. This internet-based revision aid used in conjunction with the workbook has been developed for those taking the SII's IAQ™ and the Certificates in Investment. Its key features include: answer one question per page review all questions / flagged questions / unanswered questions a large database of at least 200 questions per title edition accurate: only current version available remembers all past test results, even after logging off Professional Refresher (http://www.sii.org.uk/web5/infopool.nsf/HTML/rSIICPD) 8 This list is originally compiled by Xiaochi (Vivian) Jin for Silver Grand Financial Resource. All contents are strictly confidential and for internal use ONLY. If you think anything is incorrect or missing, please contact xjin@silvergrandfinance.com. CATEGORY: FINANCIAL ADVISING Demo: http://www.financial-elearning.co.uk/regrefreshdemo/ SII Professional Refresher (formally known as SII Regulatory Refresher, but now updated and redesigned) is the key training solution to help you remain up-to-date with regulatory developments and the changes as a result of MiFID, to maintain regulatory compliance and demonstrate continuing learning. SII Professional Refresher seeks to provide users with an understanding of the existing regulatory requirements and will enable forthcoming changes to be more readily identified and understood. It is free to all members of SII (except Student members). There are 14 modules, each having its own glossary and end of module test. Candidate Commonroom (http://www.sii.org.uk/web5/infopool.nsf/HTML/rLearningAndResources) To further assist exam candidates, the Institute's Candidate Commonroom provides tips from our examiners, allows you to leave your comments and feedback, has details of Institute study aids, industry changes and developments, the latest syllabi and everything that you'll need to help you pass your exam. When you enter the site you will immediately notice a more fun and down-to-earth feel which will incorporate helpful links. Areas covered include: Study Aids - what you need to help you pass your exam Taking Your Exam - hints, tips and sample questions News and Hot Topics - the latest changes and developments Candidate Update - keeping you up-to-date with exam and industry changes Extras for Candidates - glossaries of financial terms and links to useful websites SII Integrity & Ethics (newly released on June 2008) (http://www.sii.org.uk/web5/infopool.nsf/HTML/siii+e) Demo: http://www.sii-elearning.co.uk/demo.asp SII is producing a ground-breaking E-learning course, Integrity & Ethics, designed to underline the importance of ethics and integrity in the financial services industry. Professionals within the securities and investment industry have a duty to their clients, the market, the industry and society at large. Where these duties are set out in law, or in regulation, the professional must always comply with the requirements in a responsible and transparent manner. SII Integrity and Ethics outlines the existing regulatory infrastructure for financial services firms, the law, the FSA’s principles, further principles added by the professions and trade bodies and the SII’s own Code of Conduct. The course highlights a series of ethical dilemmas and, via a series of interactive exercises, recommends appropriate steps to take. It concludes with a short multiple choice test which enables learners to satisfy themselves that they understand the appropriate way to conduct their business and can apply their knowledge to a number of scenarios. Its benefits include: The course is delivered through the Internet and tracks each employee's progress to ensure that you have a permanent record for the regulator. Testing is delivered through Absolutely Training's patented technology to ensure that no two employees receive the same test, or that any employee sitting a test again sees a new set of questions. 9 This list is originally compiled by Xiaochi (Vivian) Jin for Silver Grand Financial Resource. All contents are strictly confidential and for internal use ONLY. If you think anything is incorrect or missing, please contact xjin@silvergrandfinance.com. CATEGORY: FINANCIAL ADVISING All reports can be e-mailed to the assigned training manager, the compliance officer or the line manger. Reminder e-mails can be sent to employees to advise them of impending training deadline. Full integration with existing systems is possible. The course can be customised to reflect your own policies and values. APPENDIX 6: SECURITIES AND INVESTMENT INSTITUTE 会员级别 (http://www.sii.org.uk/web5/infopool.nsf/HTML/mGrades-Of-Membership?OpenDocument) There are five categories of SII membership, aimed at meeting the needs of the financial services practitioner throughout every stage of his or her career. The categories are Affiliate, Student, Associate, Member and Fellow. The diagram below shows the progression through the SII membership grades, culminating in SII Fellowship. STUDENT (http://www.sii.org.uk/web5/infopool.nsf/HTML/mStudent-Membership?OpenDocument) Anyone taking any of the SII's 'Level 3' Qualifications (as defined under the National Qualifications Standards Framework), obtains Student membership automatically when they register for the qualification and pay the Qualification Registration Fee. The membership is valid for a full 12 months from making the exam booking. In the case of our higher (Level 4-5) qualifications - our Diplomas and Advanced Certificates - Student membership is mandatory, but is free and also automatically awarded for a full 12 months upon making the exam booking. Student membership is also open to those studying for other (non-SII) industry qualifications, or for anyone starting out on a career within the financial services industry. For these non-SII exam candidates a Student Application Form is available. AFFILIATE (http://www.sii.org.uk/web5/infopool.nsf/HTML/mAffiliate-Membership?OpenDocument) Affiliate membership is aimed at support (eg. HR, training, secretarial or IT staff) staff working in the financial services industry who, due to their job functions, probably do not need to achieve industry qualifications. As people in these lines of work have no need to sit industry exams, it had not previously been possible for them enrol as members and to become actively involved with the Institute. Affiliate membership exists to allow people with no professional qualifications to sample the many benefits of membership, both professional and personal and 10 This list is originally compiled by Xiaochi (Vivian) Jin for Silver Grand Financial Resource. All contents are strictly confidential and for internal use ONLY. If you think anything is incorrect or missing, please contact xjin@silvergrandfinance.com. CATEGORY: FINANCIAL ADVISING to provide them with a way into the SII community and to keep abreast of new industry developments. Please note that Affiliate membership of the Securities and Investment Institute does not award any designatory letters. ASSOCIATE (ASI) (http://www.sii.org.uk/web5/infopool.nsf/HTML/mASImembership?OpenDocument) Associate (ASI) membership is aimed at those who have achieved benchmark, or threshold competency qualifications. Roughly 5,000 practitioners from all areas of the securities & investment industry currently use the ASI designation. Associate membership is the first category to award designatory letters, and may be applied for by holders of benchmark qualifications such as our IAQ award, or our SII Level 3 Certificates. ASI status is also available to holders of certain other external recognised qualifications. MEMBER (MSI) (http://www.sii.org.uk/web5/infopool.nsf/HTML/mMSImembership?OpenDocument) Full (MSI) membership is awarded to those with a suitable combination of a high-level qualification and a certain amount of industry experience. The main route is via completion of the SII Diploma, but Associate members may apply upon completion of six years of continuing learning from their date of admission to ASI membership. Alternatively, Associate members can upgrade to full Member status upon achievement of 4 years of successfully logged CPD under the SII CPD Scheme. In addition to eligibility via SII qualifications, MSI status is also available to members of certain other professional bodies, and to holders of recognised, external qualifications. There are currently roughly 6,000 MSIs. FELLOW (FSI) (http://www.sii.org.uk/web5/infopool.nsf/HTML/mFSImembership?OpenDocument) Securities & Investment Institute Fellowship is the pinnacle of membership, demonstrating an outstanding commitment to the financial services industry. Fellowship of the Institute may be applied for by MSI members who hold our Diploma award or the Chartered Financial Analyst (CFA) qualification, upon achievement of 3 years of logged CPD under the SII CPD Scheme. Additionally, senior industry practitioners also have the opportunity to become Fellows, even if they have not achieved the SII Diploma or CFA. For further information on Fellowship via seniority & experience, please visit the FSI via experience page. There are over 3,400 FSI members at present. 11 This list is originally compiled by Xiaochi (Vivian) Jin for Silver Grand Financial Resource. All contents are strictly confidential and for internal use ONLY. If you think anything is incorrect or missing, please contact xjin@silvergrandfinance.com.