Stockbroking Advisor Certification (SAC)

The CIFA Stockbroking Advisor Certificate specialises in regulations and ethics. This CIFA level 4 course has been specifically designed for both graduates entering the industry and existing stockbrokers working within a regulated environment. Approximate total study time is 140 hours per unit

Intermediate 5(1 Reviews)
Created by CIFA Education Management Last updated Tue, 11-May-2021 English
What will I learn?
  • Introduction to UK Financial Regulation & Professional Integrity
  • Introduction to Investment Risk & Taxation
  • Introduction to Securities

Curriculum for this course
40 Chapters
Introduction to UK Regulation and Professional Integrity
20 Chapters
  • Chapter 1 UK Financial Markets
  • Chapter 1 Review Quiz 00:00:00
  • Chapter 2 UK Financial Services & Risks
  • Chapter 2 Review Quiz 00:00:00
  • Chapter 3 Contract & Trust: Legal Framework
  • Chapter 3 Review Quiz 00:00:00
  • Chapter 4 Professionalism and Ethics
  • Chapter 4 Review Quiz 00:00:00
  • Chapter 5 Regulators of the UK Financial Services
  • Chapter 5 Review Quiz 00:00:00
  • Chapter 6 Governance, Principles & Regulations (FCA & PRA)
  • Chapter 6 Review Quiz 00:00:00
  • Chapter 7 Competence of Companies & Individuals (FCA & PRA)
  • Chapter 7 Review Quiz 00:00:00
  • Chapter 8 Regulations Relating to Financial Crime
  • Chapter 8 Review Quiz 00:00:00
  • Chapter 9 Complaints & Redress
  • Chapter 9 Review Quiz 00:00:00
  • Chapter 10 COBS: Conduct of Business Sourcebook of the FCA
  • Chapter 10 Review Quiz 00:00:00
  • Chapter 1 The Various Types of Asset Classes
  • Chapter 1 Review Quiz 00:00:00
  • Chapter 2 The Macroeconomic Environment
  • Chapter 2 Review Quiz 00:00:00
  • Chapter 3 Investment Risk and Return: The Basic Principles
  • Chapter 3 Review Quiz 00:00:00
  • Chapter 4 Investor and Investment Taxation
  • Chapter 5 Types of Investment Products
  • Chapter 6 Planning and Constructing Portfolios
  • Chapter 7 Providing Investment Advice
  • Chapter 8 Performance and Reviewing of Portfolios
  • Chapter 1 Cash, Money & Forex Markets
  • Chapter 2 Fixed-Income Securities
  • Chapter 3 Equities
  • Chapter 4 Collective Investments
  • Chapter 5 Safe Custody, Settlement & Prime Brokerage
  • Chapter 6 Analysis of Securities
  • Chapter 7 Constructing Portfolios
  • Chapter 8 Selecting & Administering Investments
  • Level 3 qualifications or equivalent
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The Certified Institute for Further Accreditation’s (CIFA) Stockbroking Advisor Certification (SAC) is an E-learning programme that will provide you with the foundation professional knowledge required to begin a career in the securities industry. The SAC certificate is a specifically designed, level 4, E-learning certification programme for entry-level stockbrokers and existing professionals wanting to enhance their CPD.


The CIFA Stockbroking Advisor Certification is comprised of three stand-alone units:

Introduction to UK Financial Regulations and Professional Integrity

Introduction to Investment Taxation and Risk

Introduction to Securities


The SAC Certificate is an ideal certification programme for individuals seeking a career in the stockbroking profession, who need to enhance their resumé to stand out from the crowd.


The Certified Institute for Further Accreditation’s Stockbroking Advisor Certification programme will give you a solid understanding of the legal foundations and professional knowledge required to kickstart your career in this exciting and dynamic industry.


You will gain an in-depth understanding of the UK Financial Regulations & Professional Integrity, Investment Taxation & Risk and Securities.


The SAC is definitely a fantastic addition to your resumé.

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About the instructor
  • 9 Reviews
  • 190 Students
  • 9 Courses
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The CIFA is proud to be providing professional online study solutions worldwide.

The Certified Institute for Further Accreditation (CIFA) is a training provider that develops professional certifications, tailored to highly specialist fields of employment.

Our entry-level certifications are designed to enable students to develop a basic knowledge of their specialist field prior to sitting professional qualifications by awarding bodies.

We focus on hard to enter niche industries including finance, languages and health and business-related topics.

We work with academics from universities worldwide and industry experts to author our certification programmes and pride ourselves on our dedication to the development of our students.

The CIFA is a name in education that you can rely on for professional development and globally recognised qualifications.

We believe in the sharing of knowledge and providing the world with the highest standards of education across various sectors.

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  • Fri, 19-Feb-2021
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