CISI
Level 3
QN: 600/3921/8
Curriculum Active
CISI Level 3 Certificate In Global Financial Compliance
Official qualification regulated by Ofqual, awarded by CISI. Classified as a Vocationally-Related Qualification. Total guided learning hours: 70 hours.
Qualification Level
Level 3
Awarding Body
CISI
Syllabus Units
4 Units
Guided Hours
70 hrs
Instant access to interactive lessons, quizzes, and spaced revision.
Course Syllabus & Study Modules
Complete breakdown of verified curriculum topics and learning objectives.
1
FSA Financial Regulation
Verified
Key Learning Objectives:
- Understand the role of the Financial Services Authority (FSA) and the Regulatory Infrastructure
- Understand the Financial Services and Markets Act 2000
- Understand Associated Legislation and Regulation
- Understand European Union Directives
- Understand the FSA Conduct of Business Sourcebook / Client Assets
- Understand Customer Complaints and Redress
2
Global Financial Compliance
Verified
Key Learning Objectives:
- Understand the international financial services regulatory environment
- Understand the international approach to regulation
- Understand the compliance function
- Understand how the risk of financial crime is managed
- Understand ethics, integrity and fairness
- Understand compliance in the context of corporate governance and risk management
3
Principles of Financial Regulation
Verified
Key Learning Objectives:
- Understand the main features of the regulatory environment
- Understand the Financial Services and Markets Act 2000
- Understand associated legislation and regulation
- Understand relevant European Union Directives
- Understand the FSA Conduct of Business Sourcebook / Client Assets
4
UK Financial Regulation
Verified
Key Learning Objectives:
- Understand the financial services regulatory environment
- Understand the Financial Services and Markets Act 2000
- Understand Associated Legislation and Regulation
- Understand the FCA Conduct of Business Sourcebook / Client Assets
- Understand Customer Complaints and Redress
Regulatory & Verification Details
- Qualification Number (QN)
- 600/3921/8
- Regulated Status
- Available to learners
- Awarding Body
- CISI
- Qualification Type
- Vocationally-Related Qualification
- Operational Start
- Dec 2011