Key Details

Duration: 2 Days

Delivery method: In-house

Overview

The Introduction to Securities & Investment qualification offers a comprehensive introduction to the financial services sector, with a specific focus on investments. It is the foundation exam for many higher level CISI qualifications. The qualification covers key financial principles and products in depth including assets and markets, equities, bonds, derivatives...

The Introduction to Securities & Investment qualification offers a comprehensive introduction to the financial services sector, with a specific focus on investments. It is the foundation exam for many higher level CISI qualifications.

The qualification covers key financial principles and products in depth including assets and markets, equities, bonds, derivatives and investment funds. It explores the broader economic environment in which the financial services sector operates and looks at how economic activity is determined and managed in different economic and political systems. The qualification offers a first introduction to financial services regulation and ensures candidates are provided with an understanding of ethical behaviour and acting with integrity.

Who is this for?

It is suitable for new entrants to the professional sector and staff who are beginning their career in financial services. The broad topics covered make the qualification suitable for all staff, not just those responsible for making investment decisions, including administration, finance and accounting, IT, customer services, sales and marketing and HR and training.

Introduction

  • The Financial Services Industry

Economic Environment

  • Economic Environment

Financial Assets and Markets

  • Cash Deposits
  • The Money Market
  • Property
  • The Foreign Exchange Market

Equities

  • Equities

Bonds

  • Characteristics
  • Government Bonds
  • Corporate Bonds
  • Bonds

Derivatives

  • Derivatives Uses
  • Futures
  • Options
  • Terminology
  • Derivatives / Commodity Markets
  • Swaps

Investment Funds

  • Introduction
  • Unit Trusts
  • Open Ended Investment Companies (OEICs)
  • Pricing, Dealing and Settling
  • Investment Trusts
  • Exchange-Traded Funds
  • Hedge Funds
  • Private Equity
  • Other Alternative Investments

Financial Services Regulation

  • Financial Services Regulation
  • Financial Crime
  • Insider Dealing and Market Abuse
  • Data Protection
  • Complaints and Compensation

Taxation, Investment Wrappers and Trusts

  • Tax
  • Investment Wrappers
  • Pensions
  • Trusts

Other Financial Products

  • Loans
  • Mortgages
  • Investment Bonds
  • Life Assurance
  • Protection Insurance

Financial Advice

  • Areas of Financial Advice
  • Process for giving financial advice
  • Legal concepts relevant in financial advice

Our classroom training is delivered in-house and can be tailored to your Firm's requirements and the ability of the audience preparing for CISI exams.

Face to face training
Our recommended approach includes face to face training with one of our CISI expert trainers who will guide participants through the syllabus in a structured, engaging and interactive manner.

Practice tests and mock exams
Our face to face training days commence with a ‘kick-off’ test, testing the participants on their existing capabilities, and finish with a ‘progress’ test assessing their progress on the days topics.

As part of our in-house CISI study programmes, participants have access to chapter by chapter practice questions and a mock exam that simulates the real CISI examination.

These tools provide valuable feedback and monitoring to track the participants’ performance throughout the study programme and are vital in effectively preparing participants for success in their CISI exam.