Course Brief

Topics to be covered include:

  • Introduction
  • Financial Crime
  • Insider Trading and Market Abuse

 


Introduction

On completion, the candidate should:

  • understand the need for regulation
  • understand the main aims and activities of financial services regulators
  • know the Chartered Institute for Securities & Investment Code of Conduct
  • understand the key principles of professional integrity and ethical behaviour in financial services

 

Financial Crime

On completion, the candidate should:

  • understand the terms that describe the three main stages of money laundering
  • know the action to be taken by those employed in financial services if money laundering activity is suspected

 

Insider Trading and Market Abuse

On completion, the candidate should:

  • know the offences that constitute insider trading and the instruments covered
  • know the offences that constitute market abuse and the instruments covered

 

  • Introduction to Securities & Investment (International)

    CISI’s International Introduction to Securities and Investment (IISI) provides a comprehensive introduction to the financial services industry with a specific focus on investments from a global perspective. As well as being a standalone qualification, this programme is the introductory unit of CISI’s Investment Operations Certificate (IOC).


    Who should attend?

    This qualification is intended for new entrants who are beginning their career in the financial services industry. It is also suited to new or experienced investors with an interest in acquiring a more detailed understanding of investment products and financial markets. The programme covers key financial principles and products including assets and markets, equities, bonds, derivatives, investment funds, retirement planning, loans, mortgages, life assurance and protection insurance.

    What's more, through the partnership between CISI and ACCA, ACCA members and affiliates can join CISI without having to pay an initial membership joining fee (worth up to £50).


    Certification

    The Chartered Institute for Securities & Investment (CISI) is the leading professional body for those who work in, or aspire to work in, the investment sector, and they are passionately committed to enhancing knowledge, skills and integrity – the three pillars of professionalism at the heart of their Chartered body. Formed in 1992 by London Stock Exchange practitioners, CISI has a global community of more than 40,000 members in 121 countries.


    Click here to see the content and structure of the CISI IISI programme.