Investment Operations Certificate - IOC™ - Kaplan Financial
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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.

Summary
  Unit 1: Introduction to Securities & Investment Unit 2: Regulations Unit 3: Technical
Study Hours* 35 hours 35 hours 35 hours
Course Duration 2 days 1 day 2 days
Exam Structure 50 questions, 1 hour**
Exam Format Multiple choice, computer-based testing
Pass Mark 70% per unit

* Approximate number of study hours excluding classroom course time
** Except for UK Financial Regulation which has 75 questions over one and a half hours, and the Combating Financial Crime, Global Financial Compliance and Risk in Financial Services third unit choices which have 100 questions over two hours


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Our question banks contain a combination of CISI and Kaplan tutor generated questions and are available in hardcopy and online formats.

 

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