Introduction to the Diploma in Investment ComplianceAims of the Diploma in Investment Compliance
Candidate Update
SII CPD Scheme
National Qualifications Framework
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“The consensus among compliance professionals is that the regulation and compliance module of the Securities & investment Institute is the most important of the compliance courses available to them”
Alex Davidson, Complinet
Diploma in Investment Compliance fact sheet
Aims of the Diploma in Investment Compliance
The aims of the Diploma in Investment Compliance are:
Module 1 - Introduction to Investment
To provide candidates' with an understanding of the role of the financial services industry in the UK economy, the regulatory background to the industry, the principle institutions and the financial instruments, asset classes and investment vehicles.
Module 2 - FSA Regulatory Environment/ Financial Regulation
To provide candidates with a knowledge of the regulations governing the financial markets and the conduct of business, together with an understanding of the legislation which underpins the regulations. The Module covers the Financial Services and Markets Act, the FSA Conduct of Business Rules, legislation and regulation covering, insider dealing, market abuse and money laundering.
Module 3 - Regulation and Compliance
To provide candidates with an understanding of the legal, regulatory and ethical framework of the UK financial services industry. The Module covers the FSA handbook of rules and guidance, the regulatory framework surrounding the disclosure of substantial holdings of shares, takeovers, insider dealing, money laundering and the regulation of markets and exchanges.
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Candidate Update
The Securities & Investment Institute is dedicated to keeping candidates up-to-date with changes within the financial services industry in areas relating to Institute examinations and workbooks.
The Institute’s new, free of charge, Candidate Update area will provide a central resource for the latest industry developments and exam changes as they relate to each SII exam and workbook and will keep candidates and those working in the industry updated. This will provide greater clarity on instances where a 'significant' industry change impacts on a syllabus that SII is not in a position to reflect immediately in the workbook or the exam. Each workbook/exam has its own link which details the latest changes and how they affect your study.
More information on Candidate Update
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SII CPD Scheme
Studying for SII examinations earns SII members CPD hours under the SII CPD Scheme To find out how many hours are available for taking this qualification, please use our Qualifications & CPD page.
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For further information on the Diploma in Investment Compliance programme please select from the following:
Who should take the Diploma in Investment Compliance?
Regulatory Recognition
What you need to know about the Diploma in Investment Compliance
Studying for the Diploma in Investment Compliance
Fees and Forms
Exam Policies
What next for holders of the Diploma in Investment Compliance?
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