CISI
Level 6
QN: 600/8884/9
Curriculum Active
CISI Level 6 Diploma in Investment Compliance
Official qualification regulated by Ofqual, awarded by CISI. Classified as a Vocationally-Related Qualification. Total guided learning hours: 261 hours.
Qualification Level
Level 6
Awarding Body
CISI
Syllabus Units
7 Units
Guided Hours
261 hrs
Instant access to interactive lessons, quizzes, and spaced revision.
Course Syllabus & Study Modules
Complete breakdown of verified curriculum topics and learning objectives.
1
Combating Financial Crime
Verified
Key Learning Objectives:
- Understand the background and nature of financial crime in the UK and the international context and the different approaches to combating it
- Understand the nature of predicate offences
- Understand money laundering in both the UK and the international context and the measures in place to combat it
- Understand the nature of terrorist financing in its global context and the measures in place to combat it
- Understand the nature, significance and impact of corruption and the measures in place to combat it
- Understand the nature of bribery and the measures in place to combat it in the UK and the United States
- Understand governmental and quasi governmental approaches to combating financial crime
- Understand the role of the private sector in combating financial crime
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
Regulation & Compliance
Verified
Key Learning Objectives:
- Understand the legal, regulatory and ethical frame
- work of the UK financial services industry
4
Risk in Financial Services
Verified
Key Learning Objectives:
- Understand the general principles of business risk and key risks that arise within the financial services industry and the approaches used to identify
- manage and reduce it
5
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)
- 600/8884/9
- Regulated Status
- Available to learners
- Awarding Body
- CISI
- Qualification Type
- Vocationally-Related Qualification
- Operational Start
- May 2013