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.