CISI Investment Advice Diploma

The CISI Investment Advice Diploma is achieved by passing the following units successfully:

UK Regulation and Professional Integrity

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

Investment, Risk and Taxation

• The macro-economic context of investment advice and planning
• The main asset classes; characteristics and applications
• The main investment products; characteristics and applications
• Investment theories and their practical application
• Identification, measurement and assessment of investment risks and returns
• Taxation of investors and investments in the UK
• Portfolio planning, construction, review and maintenance
• Provision of investment advice including the ability to analyse clients’ circumstances and apply suitable investment product recommendations to meet client-led objectives

Plus at least one technical unit, depending on your role:

Securities

• Types of securities
• Money markets and cash
• Foreign exchange
• Settlement and safe custody
• Prime brokerage
• Accounting analysis
• Portfolio construction
• Investment selection and administration

Derivatives

• Introduction to Derivatives
• Underlying assets
• Exchange Traded Futures and Options
• OTC Derivatives
• Clearing
• Delivery and Settlement
• Portfolio Research and Construction
• Trading, Hedging and Investment Strategies
• Investment Selection and Administration
• Special Regulatory Requirements

Financial Planning and Advice

• Financial protection
• Retirement planning
• Financial planning

Retail Advice and Planning

• Financial planning
• Financial protection
• Retirement planning
• Retirement solutions
• Financial planning recommendations