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CISI Capital Markets programme

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Earn your Certificates

The Chartered Institute of Securities & Investment (CISI) Capital Markets Programme (CISI Certificates) is designed to satisfy the FCA requirements for individuals working in the securities and derivatives markets seeking Approved Person status. Firms must ensure that individuals undertaking certain activities achieve a level of threshold competency. Part of this process requires certain individuals to pass an appropriate competency exam.

The breadth of FCA activities is matched by the Capital Markets programme. Candidates must, however, ensure that they take the Certificate that is appropriate to the activity they are to undertake. This should be agreed in conjunction with the Compliance department of the candidate’s firm.


To achieve a Certificate, delegates must pass a regulatory unit and at least one and technical unit.


Unit Study Hours* Course


Exam Format Pass Mark
FCA Financial Regulation 25 hours 1 day 75 questions
1 1/2 hours



Multiple Choice

Computer-based Testing





Securities 35 hours 2 days 100 questions
2 hours
Derivatives 35 hours 2 days 100 questions
2 hours
Financial Derivatives 35 hours 2 days 75 questions
1½ hours

* Approximate number of study hours excluding classroom course time

Why Study Your Certificate with Kaplan?

Throughout our 70 year history, Kaplan has remained student focused, results driven and committed to helping individuals achieve their education and career goals. We build futures one success story at a time. Let us help build yours!

Learning Manuals

Our Manuals are mapped to the syllabus, so cover all of the syllabus and only the syllabus.


Question Banks

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


Accredited Trainer

Kaplan has CISI accredited training provider status.

Expert Tutors

Kaplan CISI tutors possess a unique understanding of exam syllabi and the most effective strategies for teaching.


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