The CIFA Investment Advisor Certification (IAC) programme is an in-depth, graduate entry-level certification designed to give our financial students a structured e-learning programme that introduces them to the UK regulations and professional ethics; investment risk and taxation; and derivatives – all of which are critical elements of continuing professional development within the investment profession.
Consisting of three units, “Introduction to UK Regulations and Professional Integrity”, “Introduction to Investment Risk and Taxation” and “Introduction to Derivatives”, the Investment Advisor Certification (IAC), provides students with comprehensive knowledge and a good understanding.
Approximate total study time is 140 hours per unit.
The CIFA Investment Advisor Certification (IAC) is suitable for graduates, beginning their career, who need to enhance their knowledge and showcase their commitment to further development in the financial industry, prior to undertaking FCA regulated qualifications.
Unit 1 “Introduction to UK Financial Regulation & Professional Integrity” consists of 10 chapters covering:
UK Financial Markets
UK Financial Services & Risk
Contract & Trust: Legal Framework
Professionalism and Ethics
Regulators of the K Financial Services
Governance, Principles & Regulations (FCA & PRA)
Competence of Companies & Individuals (FCA & PRA)
Regulations Relating to Financial Crime
Complaints & Redress
COBS: Conduct of Business Sourcebook of the FCA
Unit 2 “Introduction to Investment Risk & Taxation” consists of 8 chapters covering:
Various Types of Asset Classes
The Macroeconomic Environment
Investment Risk & Return: The Basic Principles
Investor & Investment Taxation
Types of Investment Products
Planning and Constructing Portfolios
Providing Investment Advice
Performance & Reviewing of Portfolios
Unit 3 “Derivatives” consists of 10 chapters covering:
Derivatives – An Overview
Underlying Assets
Exchange-Traded Futures and Options
Over-the-Counter (OTC) Derivatives
Clearing
Delivery and Settlement
Researching and Constructing Portfolios
Trading, Hedging and Investment Strategies
Selection and Administration of Investments
Regulatory Requirements
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