Training Objectives

Each learning objective begins with one of the following prefixes: know, understand or be able to calculate. These words indicate the different levels of skill to be tested.

• Knowing requires the candidate to recall information such as facts, rules and principles
• Understanding requires the candidate to demonstrate comprehension of an issue, fact, rule or principle
• Ability to calculate requires the candidate to be able to use formulas to perform calculations

Training Outline

Introduction: The Financial Services Sector

• The role of the sector
• Main participants
• The main international regulations

Economic Environment

• Key aspects of macroeconomics
• The role of Central Banks

Equities/Stocks

• Benefits and risks of stocks
• Trading and settlement regulations
• Stock indices

Bonds

• Government and corporate bonds
• Risks and returns

Other Markets and Investments

• Cash deposits, money markets, properties, foreign exchange

Derivatives

• Key features of derivatives
• Types of derivatives
• Regulatory requirements

Investment Funds

• Types of funds
• Funds legal structures
• Investor protection features

Regulation and Ethics

• Regulations in investment industry
• Investor protection and compliance
• Overview of international regulation
• Money laundering and bribery
• Insider trading

Other Financial Products

• Loans, mortgages
• Insurance products

Financial Advice

• The financial advice process
• Tax planning, estate planning
• Legal concepts: trusts, partnerships

Who Should Attend

The program is suitable for new entrants to the profession and staff who are already working in financial services. The broad topics covered make the qualification suitable for all staff, not just those responsible for making investment decisions, including administration, compliance, AML, finance and accounting, IT, customer services, sales and marketing and HR.

Training Style

The programme is designed to enhance participants’ broad understanding via short lectures, practical examples, and practice questions.

Most of the training delivery will be based on the CISI International Introduction to Securities and Investments certification syllabus and the related national regulations.

Participants will also have access to 100 online revision questions with answers, which can be ideal for candidates pursuing the respective exam

Optional Exam

The objective of the examination is to provide candidates with a basic introduction to the financial services industry with a particular focus on investments and regulations.

The examination will test candidates’ knowledge and understanding of the following elements:

• Introduction: The Financial Services Sector
• The Economic Environment
• Equities/Stocks
• Bonds
• Other Markets and Investments
• Derivatives
• Investment Funds
• Regulation and Ethics
• Other Financial Products
• Financial Advice

The exam is Multiple Choice Computer-Based, consisting of 50 questions and lasts 1 hour. The pass mark for the exam is 70%.

The following exam fees are payable directly to the CISI upon registration:

• Qualification Registration Fee: £40.00
• CISI International Introduction to Securities and Investment (1st Attempt): £241.00
• CISI International Introduction to Securities and Investment (Resits): £142.00

CPD Recognition

This programme may be approved for up to 10 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

CISI and EIMF

The CISI and EIMF have a long-lasting collaboration in organising training and development events and promoting opportunities that are of value to the CISI members as well as to securities, investment, wealth and financial planning professionals. The CISI has awarded the EIMF the “Authorised Training Provider” status, which allows EIMF to offer quality preparation courses for participants pursuing the CISI certificates, such as the CISI International Introduction to Securities and Investments.

In-house Training

For groups within the same organisation, this course may be customized to meet any specific needs and delivered in-house.