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CISI Investment Advice Diploma (IAD): Unit 1 – UK Regulation & Professional Integrity

Professional Qualification

Overview

The IAD is the CISI qualification specifically developed to comply with the new examination standards of the RFA/RDR. It appears on the JFSC’s/FCA’s appropriate examination list and is at Diploma level to reflect the amount of learning required.

Suitable For

Experienced and new advisers seeking RFA/RDR compliance. There are no prerequisites for this qualification.

2 days – split
Jersey

Learning Outcomes

The IAD is for both new and existing advisers aiming to achieve competent status in relation to investment advice under new RFA/RDR guidelines.

Typical learning outcomes will include:

  • Understanding of the principles of investment risk and return
  • An understanding of the regulatory framework relating to financial crime
  • A knowledge of the conduct of business rules covering the fair treatment of customers, the provision of advice and services and client money protection
  • The ability to confidently explain the complaints and compensation framework
  • Understand the macro-economic environment
  • Being able to discuss investment products and the principles of investment advice and planning

SYLLABUS SUMMARY

  • UK Financial Services and its relationship with consumers
  • Professional Ethics and Integrity
  • UK Regulatory Infrastructure, inc European Union Directives
  • The FCA’s Supervisory Objectives, Principles and Processes
  • Authorisation of Firms and Individuals
  • The Regulatory Framework relating to Financial Crime
  • Complaints and Compensation
  • Regulatory Framework; The provision of Financial Services, Fair Treatment of Customers and Protection of Client Assets

IN-HOUSE TRAINING

This course can be organised in-house if numbers allow.

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

Please note that the cost excludes materials, which can be purchased from the CISI.

Your exam fee is payable directly to the CISI.