CISI Diploma in Investment Compliance
The CISI Diploma in Investment Compliance is a specialist qualification for individuals working within compliance, or those working within the financial services industry, who wish to increase their knowledge and understanding of compliance. It is designed to develop the compliance professional’s knowledge and skills in FSA regulation and compliance, as required for the securities and investment industry.
The CISI Diploma in Investment Compliance is made up of three modules. You must achieve a pass in each module to be awarded the Diploma in Investment Compliance. If you already hold a CISI Certificate (except for Corporate Finance) or the IAQ™, you will be exempt from the first two modules.
The modules are:
- Module 1: Introduction to Investment
- Module 2: CISI Regulatory Paper
- Module 3: Regulation and Compliance
Click here for more information on the different modules.
| CISI Diploma in Investment Compliance Facts | |||
|---|---|---|---|
| Module 1 Introduction to Investment | Module 2 CISI Regulatory Paper | Module 3 Regulation & Compliance | |
| Entry Requirements | None | None | None, though relevant industry experience is recommended |
| Study Time | We recommend 30-35 hours plus course attendance | We recommend 10 hours plus course attendance | We recommend 100 hours plus course attendance |
| Pass Mark | 70% | Approximately 70% | Variable |
| Examining Body | Chartered Institute for Securities and Investment | Chartered Institute for Securities and Investment | Chartered Institute for Securities and Investment |
