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Diploma in Investment Compliance

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£ 451 + VAT

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    Online

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Course programme

The SII Diploma in Investment Compliance is a specialist qualification for individuals working within compliance, or those working within the financial services industry, who wish to increase their knowledge and understanding of compliance. It is designed to develop the compliance professional's knowledge and skills in FSA regulation and compliance, as required for the securities and investment industry.The SII Diploma in Investment Compliance is made up of three modules. You must achieve a pass in each module to be awarded the Diploma in Investment Compliance. If you already hold a SII Certificate (except for Corporate Finance) or the IAQ , you will be exempt from the first two modules.The modules are:Click herefor more information on the different modules.


Module 1 - Introduction to InvestmentThis module provides an overview of the financial services industry and the regulatory background to the industry. It covers:
  • The principle institutions and financial instruments
  • Asset classes
  • Investment vehicles

Diploma in Investment Compliance

£ 451 + VAT