Investment Operations Certificate (IOC)
| Duration: | Each unit lasts two days |
| Level: | Ofqual Level 3 |
| Suitable for: | Employees working in, or aspiring to work in, operations for both wholesale and retail firms. |
| CPD Hours: | N/A |
| Cost: | N/A |
N.B - See below for separate unit prices.
Dates
| Tuition | Revision day | |
| IOC Unit 1: | 7 March 2013 | 8 April 2013 |
| IOC Unit 2: | 4 July 2013 | 1 August 2013 |
| IOC Unit 3: | 24 October 2013 | 27 November 2013 |
Overview
The Chartered Institute for Securities & Investment (CISI) is the principal provider of qualifications for the securities and investment industry. Its exams are taken in over 75 countries. The IOC is a global practitioner-led programme and 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.
Course Content
Delegates need to complete the following three units:
- Unit 1: Introduction to Securities and Investment
- Unit 2: FSA Financial Regulation
- Unit 3: Risk in Financial Services
To be awarded the full IOC delegates must secure passes in three units. Each examination is in multiple-choice format.
Learning Outcomes
The IOC is a foundation qualification for people working in operations.
Students receive free student membership for 12 months on completion of the qualification registration form.
Typical learning outcomes will include:
- An understanding of the principles of regulation
- Be able to competently discuss investment asset classes and products
- An understanding of the regulatory framework relating to financial crime
Who developed this?
This exam is awarded by the CISI, which is the premier supplier of financial services qualifications to the securities and investment industry. Over 40,000 exams are taken each year.
The CISI is a charity, registered in the UK, whose exams are taken throughout the world. It has offices in the Middle East, India, China and Singapore. The qualification has been developed with input from expert practitioners from leading global financial firms, including AXA Investment Managers and the Bank of New York Mellon.
It provides delegates with a clear benchmark to demonstrate that they have acquired the necessary knowledge to carry out their job roles competently.
Regulatory approval
The CISI is recognised as an Awarding Body by the UK Office of the Qualifications and Examinations Regulator. Many of the CISI’s qualifications are mandated by different regulators around the world, so both individuals and firms can be confident that the CISI’s processes, policies and systems meet rigorous quality assurance standards.
Cost
£1350 for all units (including all materials but excludes exam costs)
£500 per unit (including all materials but excludes exam costs)
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