Training Course:SII Diploma in Investment ComplianceSchool/Trainer:7city Learning
London, United Kingdom
Course Format: Classroom | E-learning | Virtual Class | Online | On-site | Blended | Self-paced
Course Description:
'' SII Diploma in Investment Compliance
The SII Diploma in Investment Compliance is a specialist qualification for individuals working within compliance. It is designed to develop the compliance professional’s knowledge and skills in FSA regulation and compliance as required for the securities and investment industry.
The SII Diploma in Investment Compliance is made up of three modules.You must achieve a pass in each module to be awarded the Diploma in Investment Compliance. If you have already achieved the IAQâ„?or any of the Certificate qualifications (except for Corporate Finance), you will already have covered modules 1 and 2 and therefore will only need to sit module 3, the Regulation and Compliance paper.
FAQ’s
What is CBT?
Examinations for modules 1 and 2 are sat via CBT or Computer Based Testing. Rather than using a pen and paper, you will take your exam whilst sat at a computer.The examinations are held at various ‘test centres�both in London and at regional centres around the UK. Some firms may have an arrangement with the SII whereby the testing takes place at their own premises. If you have not completed a CBT exam before, there is a working demonstration of CBT on the SII website which consists of a tutorial followed by a practice exam comprising five questions (www.sii.org.uk).The mock exams and practice tests for modules 1 and 2 within your 7C-online account also replicate the CBT experience to ensure you are fully prepared when you walk into the test centre.
How frequent are the examinations?
CBT allows you complete flexibility when booking your exam - you can choose the day and time to suit you.You will also receive your results and feedback immediately after your exam (subject to confirmation by post).Therefore modules 1 and 2 can be sat on any day and hour of your choosing.
Module 3, the Regulation & Compliance exam is a paper based exam and is held twice a year (June and December).
How quickly can the SII Diploma in Investment Compliance be completed?
The Diploma in Investment Compliance can comfortably be completed in 6-9 months.
Do I have to take the modules in order?
We recommend that you take the modules in order as this allows the building up of the higher levels of knowledge that will be expected in the module 3 exam. Modules 1 and 2 effectively provide the basic knowledge which then needs to be built upon and extended to perform at the levels expected in module 3.
What do the syllabi cover?
The syllabi and examinations for the modules are developed in conjunction with senior industry practitioners.The examinations are designed for candidates to demonstrate their understanding and knowledge of the legal, regulatory and ethical framework of the UK financial services industry and their ability to apply such knowledge and understanding in a practical manner. Areas covered by the syllabi are the regulatory framework (including a detailed knowledge of parts of FSMA 2000), the FSA Handbook; other regulatory provisions and statutes in regard to substantial share holdings, takeovers and financial crime; and finally the regulation of markets and exchanges.
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Please go to the school's official website for training price and schedule:
http://www.7city.com/
Phone:+44(0)20 7496 8600
School Address:
4 Chiswell Street
London
EC1Y 4UP
UK
Jobs & Resumes: London
Houses & Roommates: London
Other training courses offered by 7city Learning:
SII Certificate: Unit 4 - SFD
SII Certificate: Unit 5 - Investment Management
Certificate in Corporate Finance
Investment Management Certificate (IMC)
Investment Administrative Qualification
IT in Investment Operations - ITIO
NASD
ACOR
Advanced Certificate in Global Securities Operations
Professional Risk Manager
CFA
Advanced Attribution
Performance Measurement
GIPS
Securities Operations
Fund Administration
Global Custody
Basel 2 and Risk Management
Market Risk Management & Controls
Notice: The course description on this page was captured from the Internet as historical reference or submitted by visitors. It was archived statically and not updated from day to day.
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