• Course
    CISI IOC UK Financial Regulation (IOCUKRegs)
  • Dates
    8 July 21 - 09:30
    12 October 21 - 09:30
  • Venue
    Online - Webinar
  • Course Fees (excl. VAT)
    Online Single Webinar £325.00
  • CPD Credits
    12 hours - £325 +VAT per person

Total Price: £325.00

Get this course in-house
Or call 0203 178 4230
or email info@fstp.co.uk today.

Course Overview

This is a regulatory paper of the CISI Investment Operations Certificate (IOC) which together with an introductory and technical unit will provide you with a level 3 qualification. For those in an administration or operations position or with an aim to be in an oversight role, this is an important qualification  to hold.
With a suggested minimum of 90 hours study we this course will help  you understanding the important area of regulation and how this applies to your role, the firms' clients and the wider context in financial services.


This revision session is split over two days. By booking your place on this page for the day one date you will be sign up for both dates. We do not offer access to one day for a reduced cost.

Part 1 - 27th May
Part 2 - 3rd June

Part 1 - 8th July
Part 2 - 14th July 

Part 1 - 12th October
Part 2 - 21st October



Benefits

Led by an FSTP Senior Associate these practical study days cover the required CISI syllabus, with the opportunity to ask questions and interact with other students to explore the wider application of the content:

  • Limiting class numbers to a maximum of 12 students for study courses

  • Tips on exam and self study techniques

  • Experienced and knowledgable tutors 


Agenda

  • The Regulatory Environment

  • The Financial Services and Markets Act 2000 and Financial Services Act 2012

  • Associated Legislation and Regulation

  • The FCA’s Conduct of Business and Client Assets Sourcebooks

  • Complaints and Redress
     

Get this course in-house

Or call 0203 178 4230 or email info@fstp.co.uk today.

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Meet The Tutor

Matt Moriarty
Matt Moriarty
Associate
[Read about...]

Who is this course for?

For those in an administration or operations position or with an aim to be in an oversight role, this is an important qualification  to hold.

This course should be taken after completing self study of the CISI workbook. All CISI workbooks, online support e.g. Revision Express, qualification registration and examination bookings are not included with this course and must be made via the Institute directly. 


"Great knowledge and put across in an informative and un-over boring way."

Customer Operations Adviser


Training that makes a difference

 

Packed with relevant information 


We know you’re busy, so we’re careful not to waste a minute of your timeOur training courses are fast paced, insightful and filled with valuable information.

 
Experienced engaging trainers


With first hand industry knowledge and an intimate understanding of the regulatory environment, we always guide you with an expert (and friendly) hand.
 

Get personalised attention


Our online facilities allow for you to get attention from the tutor to answer your questions and interact with other participants.

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