Investment Advice Diploma (IAD)
Prepare for the CISI Investment Advice Diploma, combining UK regulation, investment, risk and taxation with one further unit of your choice.
Learning Objectives
5 objectivesExplain the UK regulatory framework for financial services and the professional integrity expected of those who advise.
Describe the main asset classes and investment products, and how investment risk and return are assessed.
Explain how investors and investments are taxed in the UK.
Describe how advice is given, from fact-finding and assessing a client's risk to recommending and reviewing a portfolio.
Apply specialist knowledge in one technical area
securities, derivatives, or financial planning and advice on retail investment products.
Programme Outline
3 topicsUK Regulation & Professional Integrity
The UK regulatory framework for financial services, the standards of conduct and integrity expected of practitioners, and how clients are protected.
Investment, Risk & Taxation
Asset classes and investment products, fundamental analysis, risk and return, portfolio construction, the advice process, and the taxation of investors and investments.
Choose one
- Derivatives Level 4 - Futures, options and swaps: the underlying markets, how exchange-traded and over-the-counter contracts are priced, cleared and settled, and the strategies built on them.
- Securities Level 4 - The technical unit for advising on and dealing in securities such as shares and bonds, mapped to those FCA activities.
- Financial Planning & Advice - For advisers on retail investment products: the planning process, protection needs, retirement planning and income options, and making and reviewing recommendations.
Hands-On Resources
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