CISI
Level 3
QN: 600/2061/1
Curriculum Active
CISI Level 3 Certificate in Securities
Official qualification regulated by Ofqual, awarded by CISI. Classified as a Vocationally-Related Qualification. Total guided learning hours: 85 hours.
Qualification Level
Level 3
Awarding Body
CISI
Syllabus Units
5 Units
Guided Hours
85 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
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
3
Principles of UK 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 the FCA Conduct of Business Sourcebook / Client Assets
4
Securities
Verified
Key Learning Objectives:
- Understand the different types of securities and the role of key market participants
- Understand how new issues are made
- Understand the primary and secondary markets and the role of key participants
- Understand settlement
- Understand specific regulatory requirements
- Understand accounting analysis
- Understand risk and reward of investment in equities
5
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)
- 600/2061/1
- Regulated Status
- Available to learners
- Awarding Body
- CISI
- Qualification Type
- Vocationally-Related Qualification
- Operational Start
- Jun 2011