Regulatory Recognition - Diploma in Investment Compliance

The Securities & Investment Institute (SII) has been approved as an Awarding Body by the Qualifications & Curriculum Authority and, as such, both individuals and firms may be assured that the SII’s processes, policies and systems meet rigorous quality assurance standards.

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Module 1 - Introduction to Investment of the Diploma in Investment Compliance is recognised by the Financial Services Skills Council (FSSC) as a Key 4 unit (Industry Awareness) on the FSSC's list of Appropriate Examinations.

Modules 2 - FSA Regulatory Environment and 3 - Regulation and Compliance have been recognised by the FSSC as Appropriate Examinations meeting the requirements for Key 3 (UK regulatory module).

Who should take the Diploma in Investment Compliance?
Regulatory Recognition
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