1. Structure
You must complete two compulsory units (Introduction to Securities and Investment and UK Financial Regulation) and then choose one specialised technical unit from a wide range of subject areas.
Entry requirements
This qualification is suitable for anyone working, or aspiring to work, in the administration and/or operations sector and no previous qualifications are required.
Syllabus
The following two subjects are compulsory:
Introduction to Securities and Investments
A stand-alone qualification, as well as the introductory unit of the Investment Operations Certificate (IOC) programme, this exam provides an overview of all areas of investment to new entrants to the financial services industry.
£276.00 - £420.00
(£230.00 - £350.00
excl. VAT)
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UK Financial Regulation
The regulations and legislation that underpin financial markets in the conduct of investment business in the UK.
£276.00 - £420.00
(£230.00 - £350.00
excl. VAT)
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Please choose one subject from the following based on the most appropriate fit to your job role:
Asset Servicing
The fundamentals of asset servicing in relation to operational and administrative functions.
£276.00
(£230.00
excl. VAT)
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Client Money and Assets
An introduction to the concepts and processes necessary to understand the importance of client assets and how they must be adequately protected under the FCA’s client assets (CASS) regime.
£276.00
(£230.00
excl. VAT)
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Collective Investment Schemes Administration
The fundamentals of collective investment schemes in relation to operational and administrative functions.
£276.00
(£230.00
excl. VAT)
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Combating Financial Crime
This exam has been significantly revised and updated. It seeks to ensure that candidates have a basic knowledge of the regulations and practices relating to combating financial crime.
£276.00
(£230.00
excl. VAT)
Buy now
Derivatives Operations
A basic introduction to Exchange-Traded and Over-The-Counter Derivatives Administration in relation to the needs of operations and administration staff.
£276.00
(£230.00
excl. VAT)
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Global Financial Compliance
You’ll be introduced to international compliance, including the international regulatory environment, the compliance function, managing the risk of financial crime, ethics, integrity and fairness, and governance, risk management and compliance.
£276.00
(£230.00
excl. VAT)
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Global Securities Operations
You’ll explore and understand global securities services and administration in relation to the needs of operations and administration staff.
£276.00
(£230.00
excl. VAT)
Buy now
IT in Investment Operations
A stand-alone qualification, as well as a technical unit within the Investment Operations Certificate (IOC) programme, this exam provides those engaged in IT with a broader understanding of the information technology needs of firms in the financial services sector.
£276.00
(£230.00
excl. VAT)
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Managing Cyber Security
The purpose of this unit is to provide candidates with a basic understanding of the threat of cybercrime in the financial services industry, associated risks and how it can be managed.
£276.00
(£230.00
excl. VAT)
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Operational Risk
A broad introduction to the main types of risk (credit and market) and explores the rise in importance of operational risk controls.
£276.00
(£230.00
excl. VAT)
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Pensions Administration
The aim of this unit is to ensure that you have an introduction to the concepts and processes needed to understand and administer various types of pension plans.
£276.00
(£230.00
excl. VAT)
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Platforms, Wealth Management and Service Providers
The aim of this unit is to ensure that you have an introduction to the services offered by platforms, wealth managers and related outsource service providers in relation to operations and administration staff.
£276.00
(£230.00
excl. VAT)
Buy now
Risk in Financial Services
A stand-alone award but also part of the Investment Operations Certificate (IOC), this exam offers practitioners a broad understanding of the key risks that arise within financial services, covering business risk, corporate governance, regulation, risk management and includes operational, credit, market, investment and liquidity risks.
£276.00
(£230.00
excl. VAT)
Buy now
2. Study methods
We will help you maximise your time and make revision easier.
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Study method comparison table
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Live Online
Live Online is an interactive way to study wherever you are. Live Online offers you the benefits of the traditional classroom but with the flexibility of the online environment. The lessons are fully interactive, delivered live by our expert lecturers following the same exam focused material and structure as traditional classroom courses.
from
£420.00
(£350.00
excl. VAT)
local_library
Distance Learning
Study at your own pace from wherever you like. Our Distance Learning study option offers maximum flexibility for independent study and comes with MyKaplan study materials helping you to study on the go.
from
£276.00
(£230.00
excl. VAT)
Timetables - Live Online
Introduction to Securities and Investment takes place over 5 days from 12pm to 2pm.
UK Financial Regulation takes place over 4 days from 12pm to 2pm.
date_rangeView timetable
Inhouse training
We also offer inhouse training, allowing bespoke exam courses to be designed specifically for your staff. Please contact us on 020 7920 3060 or email us at citybookings@kaplan.co.uk to find out more about how we can help train your team.
3. Exams and sittings
Each IOC unit comprises a one hour, 50 question multiple choice exam (except for UK Financial Regulation and Derivatives Operations, which are 1½ hour 75 question exams, and the Combating Financial Crime, Global Financial Compliance and Risk in Financial Services, which are 2 hour 100 question exams).
The exams are based on published syllabi, which are reviewed annually to reflect changes in the industry and the regulatory environment.
All IOC exams are delivered by computer based testing (CBT) on demand and can be sat globally. You'll need to register with the CISI directly for exam entry.
Exam results are available online within 24 hours.
How long does it take to pass?
The CISI recommends 80 - 100 hours of study time per unit over a period of 3-4 months before you take an exam.
Are there any exemptions available?
You may be eligible for an exemption from one or more of the exams depending on your prior qualifications. Please see CISI’s exemptions page for further details.
4. Study Materials and Delivery Costs
Study Materials
Our distance learning study option includes both online and printed study materials.
Materials included
Compulsory modules
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CISI Official Learning and Reference Manual
Written by the CISI, these manuals cover all the syllabus and only the syllabus, and are the official reference document for real exam questions.
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Question and Answer Book
Contains printed chapter questions and mock exams to test yourself and check your progress.
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Access to MyKaplan
Our online learning portal with everything you need to prepare for your exam.
If you order your materials through Kaplan, you'll be able to exclude the workbook fee when booking exams with the CISI.
Technical Units
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CISI Official Learning and Reference Manual
Written by the CISI, these manuals cover all the syllabus and only the syllabus, and are the official reference document for real exam questions.
-
CISI Revision Express Interactive
Written by the CISI, this is an online study portal including exercises and questions to help you prepare for your exam.
Delivery costs
How much it costs to deliver your study materials and how long it takes depends on where in the world you live.
UK and NI - £10.42 per unit up to a maximum of £20.83 (including VAT)
EU - £16.67 per unit up to a maximum of £33.33 (including VAT)
Rest of World - £25 per unit up to a maximum of £50 (excluding VAT)
Materials are delivered to the address you provide us, within the following timescales:
UK – 3 to 5 working days
EU – 5 to 7 working days
Rest of World - 5 to 14 working days
5. MyKaplan: Online Learning Portal
MyKaplan is an online learning portal with practical resources to help you prepare for your exams.
Online Features
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Study Guide - a helpful guide that outlines the order of topics you should study, including which questions to practice, and which videos to watch.
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Exam Syllabus - a complete breakdown of what you’ll be studying.
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Tutor Recordings - watch and replay classes whenever you like.
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Classroom Slide pack - your central reference point for note taking. It integrates the CISI Institute material to aid the note taking process, which provides you with more time to practice questions.
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Workbook - helps you keep all your notes in one place to improve revision.
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Chapter Questions - see how much you’ve learnt at the end of every chapter.
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Mock Exams - test your knowledge with mock exams, mirroring the real exams.
Access duration
You can access your online content for 12 months from your enrolment date.
computerMinimum system requirements for MyKaplan
6. Tutor support
We’ll support you every step of the way throughout your studies. You can contact a tutor and get the help you need, with a response time of within 48 working hours. Please contact us at citybookings@kaplan.co.uk.
7. Course pricing and enrolment options
Pricing structure
Units are all priced individually, so you can purchase them altogether or separately as you need them.
| Live Online (two compulsory units) |
Distance Learning (all three units) |
| excl. VAT |
inc. VAT |
excl. VAT |
inc. VAT |
| £905.00 |
£1,086.00 |
£690.00 |
£828.00 |
Payment options
Your employer may fund the costs of your studies if you’re already working in a related field and want to develop your learning. You’ll need to speak to them to see if you’re eligible and confirm that they’re happy to pay for your studies.
Our IOC materials are covered with our interest-free payment plan, providing the total cost is £500 minimum (including VAT). The plan lets you spread the cost of your studies over a period of time, with no extra costs.
You may eligible for an Apprenticeship through your employer, depending on your circumstances. Speak to your employer to find out more.
How to enrol
Enrol online or call us on 020 7920 3060.