IOC™ Unit 1 - Introduction to Securities & Investment

The aim of this module is to provide individuals looking for a career in the financial services industry with an understanding of the breadth of the industry, the regulatory framework, how the industry functions and the basics of the various financial instruments.

IOC™ Unit 2 - Regulatory Module (from a choice of two)

FSA Financial Regulation

This IOC™ module considers the regulatory environment in the UK and the background that lead to the creation of the Financial Services Authority (FSA) as the sole regulator. The role of the FSA is considered as well as the content of the FSA Handbook.

Principles of Financial Regulation

This IOC™ module considers the regulatory environment in the UK and the background that lead to the creation of the Financial Services Authority (FSA) as the sole regulator. Whereas the FSA Financial Regulation course covers rules that relate both to the wholesale as well as the retail side of the business, the course on the Principles of Financial Regulation concentrates only on the matters affecting the wholesale side of the business.

IOC™ Unit 3 - Technical Modules (from a choice of 11)

Asset Servicing

The aim of this IOC™ module is to ensure that candidates have a sound understanding of the fundamentals of assets servicing as far as this relates to the needs of operations and administrations staff. By heightening candidates’ understanding of the core and surrounding areas of work which impact on their day-to-day role, this subject aims to educate staff, thereby reducing the risk to the firm, and ultimately, the consumer.

Collective Investment Schemes Administration

The aim of this IOC™ module is to ensure candidates have an introduction to Collective Investment Schemes Administration as it relates to the needs of operation and administration of staff.

CREST Settlement

The aim of this IOC™ module is to ensure candidates have an understanding of CREST Settlement as it relates to the needs of operations and administration of staff.

Exchange-Traded Derivatives Administration

The aim of this IOC™ module is to ensure candidates have an understanding of exchange-traded derivatives as it relates to the needs of operations and administration of staff.

Global Securities Operations

The aim of this IOC™ module is to ensure candidates have an introduction to the global securities services and administration as far as this relates to the needs of operations and administration of staff.

ISA Administration

The aim of this IOC™ module is to ensure delegates have an understanding of ISA Administration as it relates to the needs of operations and administration of staff. Since the exam is one hour, like all the other IOC™ exams, there will be more questions on ISA Administration compared to the ISA & CTF Administration exam.

IT in Investment Operations

The aim of this IOC™ module is to ensure your employees have an understanding of how the role of IT relates to investment operations and the financial services industry. It’s perfect if you have employees wishing to gain a deeper understanding of IT in the financial services sector. It can be completed on its own or as one of the three modules required for the IOC™.

Operational Risk

The aim of this IOC™ examination is to ensure that candidates have an understanding of operational risk as it relates to the needs of operations and administration of staff.

OTC Derivatives Administration

The aim of this IOC™ module is to ensure that candidates have an understanding of OTC Derivatives Administration as it relates to the needs of operations and administration of staff.

Administration of Settlement & Investments

The aim of this IOC™ module is to ensure that candidates have an understanding of Private Client Administration as it relates to the needs of operations and administration of staff.

Risk in Financial Services

This IOC™ module offers you a broad understanding of the key risks that arise within financial services, covering business risk, corporate governance, regulation, risk management and includes operational, credit, market, investment and liquidity risks.