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

Choose your study method:

Live Online

From £432.50 including VAT and postage

Live Online offers you the benefits of the traditional classroom course but with the flexibility of the online environment.

Enrol on course

Distance Learning Course

From £288.50 including VAT and postage

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

Enrol on course

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 13.

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

Introductory Unit: 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.

Regulatory Unit: 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

Technical Unit

  • Asset Servicing
  • Client Money and Assets
  • Collective Investment Schemes Administration
  • Combating Financial Crime
  • Derivatives Operations
  • Global Financial Compliance
  • Global Securities Operations
  • IT in Investment Operations
  • Managing Cyber Security
  • Operational Risk
  • Pensions Administration
  • Platforms, Wealth Management and Service Providers
  • Risk in Financial Services
Study Hours* Course Exam Exam Format Pass Mark
Introduction to Securities & Investment 80-100 hours* - 50 questions
1 hour
Multiple choice
Computer based testing
per unit
UK Financial Regulation 80-100 hours* 2 Days 75 questions
1 1/2 hours
Technical Unit 80-100 hours* - Exam lengths may vary, but generally 50 questions (1 hour)

*Source: CISI website

Investment Operations Certificate