Presentation to the

Compliance Forum 20th March 2002

Paul Taylor – Advancer Sales Manager

AGENDAAGENDAAGENDAAGENDA• Post N2

• Who needs to take SI Certificates?

• What is Advancer?

• Advancer Presentation

• Demonstration

• Questions / Discussion

SI Certificate Exams –

Post N2

SFA Registered Persons Exams – Pre N2

SI Regulatory Paper UK Regulatory Module

*Certificate in Securities Securities Representative

*Certificate in Derivatives Futures & Options Representative

*Certificate in Securities & Financial Derivatives

Securities & Financial Derivatives

*These courses include the Regulatory Paper

N2 EXAMINATION CHANGESN2 EXAMINATION CHANGESN2 EXAMINATION CHANGESN2 EXAMINATION CHANGES

Who needs to take SI Certificates?

Bonds / Fixed Interest Certificate in Securities 

Commodities Futures Broking

Certificate in Derivatives

Corporate Finance Certificate in Corporate Finance

Custody Certificate in Securities

Derivatives Broking Certificate in Derivatives

Discretionary Portfolio Management (DPM)

Certificate in Securities

Institutional Sales (Advice) Certificate in Securities

Research Analyst Certificate in Securities

OCCUPATION REGULATORY EXAMINATION

The fast and effective course for Securities Institute Certificate Exams

• Pre N2 Securities Institute was the only examiner for the SFA Exams

• Other companies offered the training• Anticipating change with N2, SI developed

Advancer Training Solution• A ‘blended approach’ with e-Learning as

one component appeared to offer the best solution

BACKGROUND TO ADVANCERBACKGROUND TO ADVANCERBACKGROUND TO ADVANCERBACKGROUND TO ADVANCER

• Blended learning for the Securities Institute Certificate examinations

• Accessible through both the web and company intranets

• The programme includes 3 components – Online, workbook and a classroom booster course

WHAT IS ADVANCER?WHAT IS ADVANCER?WHAT IS ADVANCER?WHAT IS ADVANCER?

E-LEARNINGE-LEARNING

SISSIS WIDELEARNING

WIDELEARNING

Online - workbook - course,Online - workbook - course,

A PERFECT COMBINATIONA PERFECT COMBINATION

ADVANCER COURSES post N2ADVANCER COURSES post N2Securities Institute Regulatory Paper (Paper 1)

SI Certificate in Securities –

Paper 2

SI Certificate in Securities –

Paper 2

SI Certificate in Derivatives

– Paper 2

SI Certificate in Derivatives

– Paper 2

SI Certificate in Securities &

Financial Derivatives –

Paper 2

SI Certificate in Securities &

Financial Derivatives –

Paper 2

SI Certificate in Securities –

Paper 2

SI Certificate in Securities –

Paper 2

SI Certificate in Derivatives

– Paper 2

SI Certificate in Derivatives

– Paper 2

SI Regulatory Paper – Paper 1

Employees engaged in advising on investments and dealing in Securities &

Derivatives

Employees engaged in advising on investments and dealing in Securities &

Derivatives

Employees engaged in advising on

investments and dealing in

Securities only

Employees engaged in advising on

investments and dealing in

Securities only

Employees engaged in advising on

investments and dealing in

Derivatives only

Employees engaged in advising on

investments and dealing in

Derivatives only

FSA Rule Reference Activities taken from the FSA Training & Competence Sourcebook

HOW ADVANCER WORKS

studymoduleon-line

studymoduleon-line

studymodule inworkbook

studymodule inworkbook

attempton-line

test

attempton-line

test

passhurdleexam

passhurdleexam

classroombooster

classroombooster

ModuleMust achieve 60%,i.e. 30 out of 50

CERTIFICATE IN SECURITIES

Regs3x

modules

Regs3x

modules

passhurdleexam

passhurdleexam

2 dayclassroom

booster

2 dayclassroom

booster

Securities5x

modules

Securities5x

modules

passhurdleexam

passhurdleexam

passhurdleexam

passhurdleexam

Securities5x

modules

Securities5x

modules

Latest pass rate comparison

66% 83%

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

National Pass mark Advancer Pass mark

• Saves up to 70% out-of-the-office time for candidatesSaves up to 70% out-of-the-office time for candidates

• Candidate progress can be monitored onlineCandidate progress can be monitored online

• Quicker than classroom courses, through flexibility of online & classroom instructionQuicker than classroom courses, through flexibility of online & classroom instruction

• Increases first time pass rates from 66%Increases first time pass rates from 66% to to 83%83%

BENEFITSBENEFITS

• Managers have the facility to monitor how much time candidates have spent online

• Performance reports can be produced

• Booster course enables candidates to resolve elements of weakness

MONITORING PERFORMANCE

UPDATING CONTENTUPDATING CONTENT

• Due to the many regulatory changes in the financial environment, the online component of Advancer ensures that students are kept up to date through regular course content updates.

• The fast and effective approach to The fast and effective approach to the Securities Institute Certificate the Securities Institute Certificate ExaminationsExaminations

@home

@ your own pace@ your own pace

this is the future

print-online-classroom, a perfect combination

global reachglobal reach

@work @work

Training for the Securities Institute Certificate Examinations

Advancer demonstration

Training for the Securities Institute Certificate Examinations

For further information… visit: www.advancer.co.uk

Or contact…

Paul Taylor on 020 7645 0728

We look forward to working with the Compliance Forum and helping deliver

your training needs over the forthcoming months.

Thank you for your attention!