CISI
Level 4
QN: 501/0746/X
Curriculum Active
CISI Level 4 Diploma in Investment Advice
Official qualification regulated by Ofqual, awarded by CISI. Classified as a Vocationally-Related Qualification. Total guided learning hours: 299 hours.
Qualification Level
Level 4
Awarding Body
CISI
Syllabus Units
9 Units
Guided Hours
299 hrs
Instant access to interactive lessons, quizzes, and spaced revision.
Course Syllabus & Study Modules
Complete breakdown of verified curriculum topics and learning objectives.
1
Derivatives
Verified
Key Learning Objectives:
- Understand derivatives, the main markets and roles of key participants
- Understand underlying assets, how they are issued and their key investment characteristics and risks
- Understand Exchange Traded Futures and Options
- Understand OTC Derivatives
- Understand how clearing works
- Understand delivery and settlement
- Understand how portfolios are constructed
- Understand trading, hedging and investment strategies
- Understand the advisory process and the administration and maintenance required for a client portfolio
- Understand the special regulatory requirements relating to Derivatives in the main developed and emerging economies
2
Financial Planning & Advice
Verified
Key Learning Objectives:
- Understand the key areas of Financial Protection.
- Understand the key areas of Retirement Planning.
- Understand the core concepts and application of Financial Planning.
3
FSA Regulation and Professional Integrity
Verified
Key Learning Objectives:
- Understand the UK financial services industry within the global economy
- Understand the regulatory frame
- work as it applies to how the needs and priorities of UK consumers should be met by the industry
- Understand relevant legal concepts as they relate to financial services
- Understand UK trusts
- Be able to apply ethical standards, professional codes of conduct and professional ethics within the context of financial services
- Understand how the UK financial services are regulated
- Understand the Financial Services Authority's (FSA) supervisory objectives, principles and processes
- Know how to comply with the regulatory obligations relating to regulated activities, firm authorisation and approved persons
- Know how to comply with the legal and regulatory obligations relating to financial crime
- Be able to ethically apply the regulatory frame
- work as it relates to complaints and compensation
- Understand how to treat customers fairly when providing advice and services in accordance with the FSA regulatory frame
4
Investment, Risk and Taxation
Verified
Key Learning Objectives:
- Understand the characteristics, risks and return of asset classes and their correlation
- Understand the macro-economic environment, its trends and impact on the economy and asset classes
- Understand the principles of investment risk and return and related models of investment theory
- Understand the UK tax system as it applies to private individuals, trusts and charities
- Understand the main types, characteristics, tax treatment, inherent risks and behaviors of investment products
- Understand the principles and theory of asset allocation and portfolio construction
- Understand the rules, process and responsibilities of giving financial advice
- Understand portfolio performance review and the performance of investments
5
Private Client Advice
Verified
Key Learning Objectives:
- Understand the consumer and retail market factors and trends relevant to financial protection
- Understand the areas of need for protection planning
- Understand the main sources of financial protection
- Understand the needs and priorities for financial protection and the relevant factors in selecting appropriate solutions
- Understand the political, economic, legal and social environment factors which provide the context for pensions planning
- Understand State Schemes in the context of an individual’s pension planning
- Understand Defined Benefit and Defined Contribution schemes and factors to consider when drawing pension benefits
- Understand the aims and objectives of retirement planning and suitable investments to meet these objectives
- Understand alternative solutions for pension income and long term requirements
- Understand the scope of the adviser’s authorisation and relevant regulations and legislation
- Be able to recommend a suitable financial plan appropriate to the client’s changing needs over time
- Be able to review a client’s portfolio and recommend changes as appropriate
6
Retail Advice & Planning
Verified
Key Learning Objectives:
- Financial Planning; Financial Protection; Retirement Planning; Retirement Solutions; Financial Planning Recommendations.
7
Securities
Verified
Key Learning Objectives:
- Understand the investment characteristics of fixed income securities and how they are issued, valued and traded
- Understand the investment characteristics of cash, money market and foreign exchange instruments and how they are issued, valued and traded
- Understand the investment characteristics of equities and how they are issued, valued and traded
- Understand settlement, safe custody and prime brokerage
- Understand securities analysis
- Understand collective investments
- Understand portfolio construction theory and practice
- Understand investment selection and administration
8
UK Regulation & Professional Integrity
Verified
Key Learning Objectives:
- Understand the UK financial services industry within the global economy
- Understand UK financial services and consumer relationships
- Understand relevant legal concepts as they relate to financial advice
- Understand UK trusts
- Be able to apply ethical standards, professional codes of conduct and professional ethics within the context of financial services
- Understand how the UK financial services are regulated
- Understand the supervisory objectives, principles and processes of the Financial Conduct Authority and the Prudential Regulation Authority
- Know how to comply with the regulatory obligations relating to regulated activities, firm authorisation and approved persons
- Know how to comply with the legal and regulatory obligations relating to financial crime
- Be able to ethically apply the regulatory frame
- work as it relates to complaints and compensation
- Understand how to treat customers fairly when providing advice and services in accordance with the FCA regulatory frame
Regulatory & Verification Details
- Qualification Number (QN)
- 501/0746/X
- Regulated Status
- Available to learners
- Awarding Body
- CISI
- Qualification Type
- Vocationally-Related Qualification
- Operational Start
- Aug 2010