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Qualifications
CISI : Certificates
In addition to the Chartered Institute for Securities & Investment 's (CISI) qualification programmes, the CISI offers a series of 'single exam' qualifications. These qualifications can act as a stand-alone qualification, or be taken in conjunction with other CISI qualifications to form a certificate or diploma.
CISI : IFQ
Aimed at new and existing investment professionals specialising in Sharia’a compliant finance, trade, investment and insurance, the IFQ is primarily a practical Islamic banking qualification, but also covers the legal aspects of Sharia’a which underpin all Islamic contracts.
CISI : IOC/IAQs
The IAQ/IOC is a practitioner-led programme for administration and operations staff. It equips individuals with an overview of the financial services industry and its regulation as well as providing a detailed picture of their particular industry sector. The IAQ programme is structured so that the first unit - Introduction to Securities and Investment - provides candidates with an awareness of the industry; the second unit - regulation - introduces them to the regulatory framework and the third unit is selected from a large number of options which reflect the specialist areas of financial services operations and administration in which staff work.
CISI : New Qualifications
Either of the two new qualifications - Combating Financial Crime or Global Financial Compliance - can be taken as stand-alone awards.
They can also be taken with one of the following exams:
- FSA Financial Regulation
- Principles of Financial Regulation
- Local regulatory paper (for international candidates)
Upon successful completion of either Combating Financial Crime or Global Financial Compliance and one of the above regulatory papers, candidates will be awarded either the Certificate in Combating Financial Crime or the Certificate in Global Financial Compliance, as appropriate.
Both the Combating Financial Crime and Global Financial Compliance qualifications are two-hour paper consisting of 100 multiple-choice questions.
The FSA Financial Regulation/Principles of Financial Regulation is a one-hour paper consisting of 50 multiple-choice questions.
Either the Combating Financial Crime exam or Global Financial Compliance exam also qualifies as an IOC (also known as IAQ) technical unit.
The exam can be taken at any of the CISI’s computer based test (CBT) centres located worldwide. CBT is operated by the CISI’s global partner Prometric. Candidates can book an exam to fit in with employment and other commitments. They receive their results when they leave the test centre; a formal certificate is issued at a later date to successful candidates.
The CCL Regulatory Competence Certificate for All Staff
This programme is designed to teach and assess candidates on the key FSA regulations. After successfully completing the programme candidates will be competent in regulatory compliance issues. The training programme consists of 3 three hour modules, each followed by an on-line competence assessment and takes a maximum of 9 hours to complete.
This programme can also be tailored to your firm’s specific requirements.
The CCL Regulatory Competence Certificate for Senior Management
This programme is designed to teach and assess candidates on the key FSA regulations. After successfully completing the programme candidates will be competent in regulatory compliance issues. The training programme consists of 4 three hour modules, each followed by an on-line competence assessment and takes a maximum of 12 hours to complete.
This programme can also be tailored to your firm’s specific requirements.
