Investment Operations Certificate - IOC™ - Kaplan Financial
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CISI Investment Operations Certificate (IOC)

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Distance Learning Course & Classroom Revision

From £258 including VAT and postage

The course includes the full Kaplan distance learning pack and an exam focused classroom course

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Distance Learning Course

From £217 including VAT and postage

Distance learning is a flexible home study choice. It allows you to study at your own pace and own time.

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Content & Structure

To achieve the IOC, delegates must pass two compulsory papers (Introduction to Securities & Investment and UK Financial Regulation) and one specialised technical paper from a choice of 11.

The exams are based on published syllabi, which are reviewed at least annually to reflect changes in the industry and the regulatory environment. The current syllabi can be viewed on the CISI website.

The Kaplan Distance Learning material includes the CISI official workbook and satisfies the CISI compulsory workbook purchase policy.

All exams are delivered by computer based testing (CBT). A worldwide network of test centres is used to ensure flexible scheduling, instant results and ease of completing the exam on screen. The CISI has test centres in over 70 countries. Test centre locations can also be found on the CISI website.

Compulsory course

Unit 1: Introduction to Securities & Investment

An overview of all areas of investment. This course is ideal if you are looking for an entry level qualification into the Financial Services arena. You can complete it in a few weeks. It is suitable for investment, banking and financial services workers.

As well as being the introductory unit of the Investment Operations Certificate (IOC), the Introduction to Investment can be taken as a standalone qualification.

Unit 2: UK Financial Regulation

Ensures candidates have an understanding of the regulations and legislation that underpin financial markets in the conduct of investment business in the UK.

Choose one of these options

Unit 3: Technical Papers

  • Administration of Settlement and Investments
  • Asset Servicing
  • Collective Investment Schemes Administration
  • Derivatives Operations
  • Global Financial Compliance
  • Global Securities Operations
  • ISA Administration
  • IT in Investment Operations
  • Operational Risk
  • Platforms, Wealth Management and Service Providers
  • Risk in Financial Services
Study Hours* Course Exam Exam Format Pass Mark
Unit 1 - Introduction to Securities & Investment 35 hours - 50 questions
1 hour
Multiple choice
Computer based testing
70%
per unit
Unit 2 - UK Financial Regulation 35 hours 2 Days 75 questions
1 1/2 hours
Unit 3 - Technical Paper 35 hours - 50 questions
1 hour

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