Investment Operations Certificate - IOC
The Investment Operations Certificate (IOC) is a regulatory benchmark examination, required by certain individuals (those in overseeing roles as defined by the regulators) in operations functions to gain Approved Person status.
As a global practitioner led programme for staff working in both wholesale and retail firms, the IOC equips candidates with an overview of the financial services industry and its regulation, as well as providing a detailed picture of particular industry sectors. It incorporates a range of exams that represent different technical activities within the industry and is taken by over 10,000 candidates a year.
More generally, the IOC gives a solid grounding in financial services and is an excellent introduction to securities and investment, regulation and the various specific streams of the investment operations industry.