Which Diploma Subject
Bonds & Fixed Interest Markets
Financial Derivatives
Fund Management
Global Operations Management
Interpretation of Financial Statements
Investment Analysis
Management Studies
Private Client Investment Advice & Management
Regulation & Compliance
Bonds & Fixed Interest Markets
Covers the characteristics and structures of the principle types of fixed interest securities, issuers and markets.
Appropriate for candidates employed in capital markets, investment management and private client a
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Financial Derivatives
Covers the characteristics of derivatives including forwards, futures, swaps and others traded in the UK, their relationship to the underlying cash securities and their use in achieving investment objectives, as well as being able to control the risks of financial derivatives portfolios.
Appropriate for candidates employed in Capital Markets and Asset Management.
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Fund Management
Covers the activities, knowledge and techniques required to undertake the management of funds for institutional clients.
Appropriate for candidates employed in Investment Management of funds of all sizes.
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Global Operations Management
Covers the regulatory structure of the main markets, the dealing and market environment, risk and control, settlement systems, operations and procedures used in the UK and internationally.
Appropriate for candidates employed in Operations at a supervisory level aspiring to a management role or those needing an in depth knowledge of the area.
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Interpretation of Financial Statements
Covers the key elements in understanding the preparation and interpretation of company accounts, to enable candidates to effectively assess financial information provided by companies. Candidates will be sent up to 3 financial statements approximately 4 weeks before the exam and will be examined on one of these.
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Investment Analysis
Enables holders to evaluate, describe and make recommendations on equity investments for private and institutional investors.
Appropriate for candidates requiring a higher level of analytical skill.
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Management Studies
Provided in conjunction with the University of Surrey, this module enables candidates to understand the management of organisations and related human resource issues.
Appropriate for candidates whose role encompasses a degree of human resource skills in addition to technical ability.
A structured course scheduled over 5 months involving 3 threshold tests and a concluding 2 hour examination.
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Private Client Investment Advice & Management
Demonstrates the ability to identify clients' needs and provide solutions to those needs. A demanding test, which candidates are advised not to attempt without sufficient practical experience.
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Regulation & Compliance
Covers the regulatory framework of the financial services industry, including participants' legal and ethical constraints, principles and policy.
Appropriate for candidates specialising in Compliance as well as those requiring knowledge of the subject beyond the minimum regulatory requirements.
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Who should take the Diploma?
Regulatory Recognition
What you need to know about the Diploma
Studying for the Diploma
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What next for Diploma holders?
