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Investment Advisor Certification (IAC) Programme in the Financial Services Sector
The Investment Advisor Certification (IAC) is a comprehensive programme designed specifically for individuals seeking to pursue a career in investment management within the financial services sector. Consisting of three units, namely "Introduction to UK Financial Regulation and Professional Integrity," "Introduction to Investment, Risk and Taxation," and "Introduction to Derivatives," this certification equips students with a solid understanding of key topics essential to succeed in the industry. Each unit requires an approximate total study time of 140 hours, ensuring a thorough grasp of the subject matter.
The CIFA Investment Advisor Certificate (IAC) programme is tailored for graduates at entry level, providing them with a structured e-learning curriculum that covers vital areas of UK regulations, professional ethics, investment strategies, risk assessment, taxation principles, and derivative instruments. By completing this programme, students demonstrate their commitment to ongoing professional development and acquire the foundational knowledge necessary before pursuing FCA regulated qualifications.
Unit 1, "Introduction to UK Financial Regulation & Professional Integrity," comprises ten chapters that delve into essential aspects such as UK financial markets, risk assessment in financial services, the legal framework of contracts and trusts, professionalism, ethics, and the regulatory bodies overseeing the financial sector. It also explores governance principles, regulations enforced by the FCA and PRA, the competence requirements for companies and individuals, regulations related to financial crime, complaints, redress procedures, and the conduct of business as outlined in the FCA's COBS (Conduct of Business Sourcebook).
Unit 2, "Introduction to Investment, Risk & Taxation," encompasses eight chapters, offering a comprehensive understanding of various asset classes, the macroeconomic environment, the fundamental principles of investment risk and return, investor and investment taxation, different types of investment products, portfolio planning and construction, investment advisory services, and performance evaluation and portfolio review.
Unit 3, "Derivatives," covers ten chapters that provide an overview of derivative instruments, underlying assets, exchange-traded futures and options, over-the-counter (OTC) derivatives, clearing processes, delivery and settlement procedures, portfolio research and construction, trading strategies, hedging techniques, investment strategies, and the selection and administration of investments, all while considering the applicable regulatory requirements.
The CIFA Investment Advisor Certification caters to the needs of graduates embarking on their professional journey in the financial industry. It enables them to augment their knowledge, demonstrate their commitment to ongoing development, and establish a strong foundation before pursuing FCA regulated qualifications. By successfully completing this programme, individuals acquire the necessary expertise to navigate the intricacies of the investment profession, contributing to their long-term success and the enhancement of the financial services sector as a whole.
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