CISI Certificates

The Chartered Institute for Securities and Investment Level 3 Certificates in Investments are benchmark competency exams for individuals working in regulated firms who will be involved in managing investments on behalf of clients, giving advice on investments or selling investments to, or on behalf of, clients.

There are 6 different certificates composed of two units for delegates working in wholesale and three units if delegates work in a retail focused role.

The certificates are awarded to candidates who pass one of the regulatory units: FSA Financial Regulation (retail) (becomes FSA Regulation and Professional Integrity from September 2010 when it moves to a Level 4 exam) or Principles of Financial Regulation (wholesale), plus the required technical unit(s).

New for 2010: Risk in Financial Services

This new exam from the CISI provides a global introduction to the key risks that arise within financial services. Please click here to find out more about this new certification.

The certificates are:

Certificate in Securities
For candidates interested in advising and dealing in securities.

Certificate in Derivatives
For candidates interested in advising and dealing in derivatives, including commodity derivatives.

Certificate in Financial Derivatives
For candidates interested in advising and dealing in financial derivatives.

Certificate in Corporate Finance
For candidates interested in advising on investments in the course of corporate finance business only.

Certificate in Investment Management
For candidates interested in managing investments.

Certificate in Commodity Derivatives
For candidates interested in advising and dealing in commodity derivatives.

Click here for more information on the different units.

NEW IN SEPTEMBER 2010: LEVEL 4 Certificates in Securities and Derivatives

In response to the RDR’s requirement that all qualification routes are at level 4 or higher, the CISI is introducing level 4 certificates in derivatives and securities.  Wholesale firms can continue to take level 3 exams – no change is envisaged for Principles of Financial Regulation, Commodity Derivatives and Corporate Finance which will remain at level 3, as will all the IAQ units.  However, level 4 units in FSA Regulation and Professional Integrity (formerly Regulations), Investment, Risk and Taxation (formerly Investment and Risk), Securities and Derivatives will start to be examined from the end of September 2010.  The timetable for the introduction of new level 4 CISI exams is as follows*:

*This is the CISI calendar.  Please refer to CISI website for further updates. www.cisi.org

** Date for release of CISI workbooks.

Click here for more information on Level 4 CISI certificates for retail delegates.