Certificate in Capital Markets
Prepare for the CISI Certificate in Capital Markets, covering UK financial regulation and the fundamentals of securities and derivatives.
Learning Objectives
4 objectivesExplain the UK regulatory environment, conduct of business rules and client asset protection that apply to capital markets firms.
Describe how market abuse, insider dealing, money laundering and financial crime are regulated and prevented.
Describe securities, how they are issued and traded, and how trades are cleared and settled.
Describe derivatives, how they are priced, margined and settled, and how they are used for hedging and trading.
Programme Outline
3 topicsUK Financial Regulation
The FCA and PRA, principles for businesses, conduct of business and client assets, market integrity and financial crime, and complaints and redress.
Securities Level 3
Cash, shares and debt instruments, primary and secondary markets, corporate actions, clearing and settlement, accounting analysis, and the basics of investment management.
Derivatives Level 3
Options, futures, forwards, contracts for difference and swaps, the underlying markets, pricing, clearing and margin, and trading and hedging strategies.
Hands-On Resources
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