Key Details

Duration: 2 Days

Delivery method: In-house

Overview

The objective of this qualification is to ensure candidates have a basic knowledge of the regulations and legislation underpinning the financial markets and the conduct of investment business. The examination will test candidates’ knowledge and understanding of the following elements:The Regulatory EnvironmentThe Financial Services and Markets Act 2000 and Financial...

The objective of this qualification is to ensure candidates have a basic knowledge of the regulations and legislation underpinning the financial markets and the conduct of investment business. The examination will test candidates’ knowledge and understanding of the following elements:

  • The Regulatory Environment
  • The Financial Services and Markets Act 2000 and Financial Services Act 2012
  • Associated Legislation and Regulation
  • The FCA Conduct of Business Sourcebook / Client Assets
  • Complaints and Redress

This exam can be taken as the regulatory paper for the CISI Investment Operations Certificate (IOC).

Who is this for?

This unit 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.

The Regulatory Environment

  • The role of the FCA and PRA
  • The Regulatory Infrastructure

The Financial Services and Markets Act 2000 and Financial Services Act 2012

  • Regulated and Prohibited Activities
  • Performance of Regulated Activities
  • Information Gathering and Investigations
  • Regulated Activities
  • Miscellaneous offences under FSA 2012

Associated Legislation and Regulation

  • Market Abuse
  • Insider dealing
  • Market Manipulation
  • Money laundering and Financial Crime
  • Disclosure and Transparency rules
  • Transaction and Trade Reporting
  • Data Protection Act 2018
  • Relevant European Regulation
  • Prudential Standards

The FCA Conduct of Business Sourcebook / Client Assets

  • The application and general provisions of the FCA Conduct of Business Sourcebook
  • Accepting clients
  • Communicating with clients, including financial promotions
  • Suitability
  • Product disclosure and the client’s right to cancel
  • Dealing and managing
  • Reporting to clients
  • Client Assets

Complaints and Redress

  • Customer complaints

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.