CISI Qualifications Explained

CISI Level 4 industry requirements are:

CISI Level 4 Requirements

 

FSA Regulation & Professional Integrity

This RDR compliant unit of the new CISI Investment Advice Diploma will ensure that candidates can apply appropriate knowledge and understanding of UK Financial Markets, Regulation and Ethics to financial planning, advice and management for retail customers.

  • 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 & services, and client money protection.

Investment, Risk & Taxation

This RDR compliant unit of the new CISI Investment Advice Diploma will ensure that candidates demonstrate the ability to apply the knowledge, theory and practical techniques required in order to assess a client's current financial position and future requirements, make suitable investment recommendations, monitor performance and respond appropriately to changing needs and circumstances. 

  • Asset Classes
  • Macro-Economic Environment
  • Principles of Investment Risk & Return
  • Taxation of Investors and Investments
  • Investment Products
  • Investment Planning
  • Investment Advice
  • Portfolio Performance and Review

Securities

This RDR compliant unit of the new CISI Investment Advice Diploma will ensure that candidates can apply appropriate knowledge and understanding of securities, markets and related functions and administration.

  • Fixed-Income Securities
  • Cash, Money Markets and the Foreign Exchange Markets
  • Equities
  • Settlement, Safe Custody and Prime Brokerage
  • Securities Analysis
  • Collective Investments
  • Portfolio Construction
  • Investment Selection and Administration

Derivatives

This RDR compliant unit of the new CISI Investment Advice Diploma will provide those advising and/or dealing in derivatives with the knowledge and skills required for their job roles. The aim of the Derivatives unit is to ensure that individuals develop an understanding of the technical aspects of financial and commodity derivatives so that their employers may seek approved person status for them to advise and deal in the derivatives markets.

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

Private Client Advice

This RDR compliant unit of the new CISI Investment Advice Diploma will provide candidates with the appropriate knowledge and understanding to enable them to advise on packaged products with the planning skills for financial protection, pensions and retirement, building on the core knowledge gained from the FSA Regulation & Professional Integrity and Investment, Risk & Taxation units.

  • Financial Protection
  • Pensions and Retirement Planning
  • Application of knowledge and understanding

Some relevant information regarding the CISI examination format is presented below:

CISI Examination Format


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