CISI Investment Advice Diploma - Financial Regulation & Professional Integrity unit

This RDR compliant course is intended for people working, or wishing to work, advising or dealing with Securities or Derivatives and advising on Packaged Products.
Course content: the whole qualification consists of three units. This course covers the core unit FSA Regulation and Professional Integrity:

• The UK Financial Services Industry
• UK Financial Services and Consumer Relationships
• UK Contract and Trust legislation
• Integrity and Ethics in Professional Practice
• The Regulatory Infrastructure of UK Financial Services
• FSA Supervisory Objectives, Principles and Processes
• FSA Authorisation of Firms and Individuals
• The Regulatory Framework relating to Financial Crime
• Complaints and Compensation
• Conduct of Business – fair treatment of customers, the provision of advice and services, and client money protection

CISI recommends 140 study hours for this unit. Assessment is by multiple-choice examination – a two-hour paper of 80 questions. Candidates will be required to provide photo ID.

On completion of the course students may progress to the compulsory unit Investment, Risk and Taxation and one of the following units: Securities, Derivatives or Private Client Advice. Please visit the CISI website for more information.

Days and Times: 

10 weeks, email: academy@tower.ac.uk for further information

Who this course is for: 

This RDR compliant course is intended for people working, or wishing to work, advising or dealing with Securities or Derivatives and advising on Packaged Products

Where this course might take me: 

This course provides financial advisers with one core unit of the Investment Advice Diploma. The full Diploma meets the requirement of the FSA Retail Distribution Review that all financial advisers hold a level 4 qualification by the end of Decemebr 2012. Two further units will provide the full qualification. Visit the CISI website www.cisi.org for more information.