Chartered Institute for Securities & Investment · RQF Level 3
CISI Level 3 Certificate in Securities
You don’t just earn this. You learn to use it, one-to-one, on your own real work.
- LevelRQF Level 3
- Total credits18
- Guided learning40 hours
- Units in this qualification5
Awarded by Chartered Institute for Securities & Investment · on the Ofqual register
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See how this course maps onto your role
Ten quick questions, one per Future Fluency, asked against this qualification rather than a generic one.
About 5 minutes · No card · Nothing to commit to
What you’ll learn
What each unit actually teaches you to do
This certificate is for those working in, or intending to work in, the securities industry. It develops knowledge of securities, financial regulation, and the UK financial regulatory environment. Successful candidates will gain an understanding of the roles of key market participants.
These are the units Chartered Institute for Securities & Investment registers against this qualification. It is a catalogue, not a syllabus. Which of them you take depends on the combination the qualification requires, and that is set by the awarding body rather than by us. Every unit here is regulated, and every one you earn is yours to keep.
FSA Financial RegulationReal unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Understand the role and responsibilities of the Financial Services Authority (FSA) within the regulatory infrastructure.
- Understand the key provisions and implications of the Financial Services and Markets Act 2000.
- Understand associated legislation and regulation relevant to financial services.
- Understand the impact of relevant European Union Directives on financial regulation.
- Understand the key principles of the FSA Conduct of Business Sourcebook and regulations concerning client assets.
- Understand the procedures for handling customer complaints and providing redress.
Principles of Financial RegulationReal unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Understand the main features of the UK regulatory environment for financial services
- Understand the purpose and key provisions of the Financial Services and Markets Act 2000
- Understand associated legislation and regulation relevant to financial services
- Understand relevant European Union Directives impacting financial services regulation in the UK
- Understand the key principles of the FSA Conduct of Business Sourcebook and its application
- Understand the regulations relating to Client Assets
Principles of UK Financial RegulationReal unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Understand the key features and objectives of the UK financial regulatory environment.
- Explain the purpose, scope and implications of the Financial Services and Markets Act 2000.
- Understand the relevant associated legislation and regulations that govern financial services in the UK.
- Interpret the key requirements of the FCA Conduct of Business Sourcebook (COBS) and rules relating to Client Assets.
SecuritiesReal unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Understand the different types of securities and the role of key market participants.
- Understand how new issues are made.
- Understand the primary and secondary markets and the role of key participants.
- Understand settlement procedures.
- Understand specific regulatory requirements relating to securities.
- Understand accounting analysis techniques.
- Understand the risk and reward associated with investment in equities.
UK Financial RegulationReal unit · Chartered Institute for Securities & Investment
What you'll be able to do
- Understand the financial services regulatory environment in the UK
- Understand the Financial Services and Markets Act 2000
- Understand Associated Legislation relevant to financial services
- Understand Regulation relevant to financial services
- Understand the FCA Conduct of Business Sourcebook
- Understand the regulations relating to Client Assets
- Understand the procedures for handling Customer Complaints
- Understand the processes for Customer Redress
The honest bit
You’ve started things before
Most courses were built for a room full of people who aren’t you. A cohort moves on whether or not your week allowed it, and by the third week the thing you’re behind on becomes the reason you stop opening it.
There’s no cohort here, and no timetable to fall behind. Before anything starts, Zavmo asks when you’re sharpest and how long you can realistically sit down for, then builds the sessions around those answers. A bad fortnight changes your pace. It doesn’t put you behind.
And you only pay once you start learning. Searching and planning are free, and you can cancel any time — so the cost of finding out is an afternoon, not a year.
Your passport
Every credit is a stamp you keep
Level 3 credits are regulated. They don’t vanish when a subscription ends or a website closes. They travel to any employer, and Zavmo keeps the map of what you’ve earned and what’s next.
Each stamp is a real unit registered against this qualification.
Who’d teach you this
The Evidence Evaluator
Assessor
Helps you show what you can actually do, gathering the evidence that proves it as you learn.
Meet all twelve tutorsWhere this connects
Where these credits take you
A qualification is never a dead end here. See the jobs its credits open, the national occupational standards its units map to, and the future skills they quietly build.
- Charge and control securities for financing
- Provide equity capital research and analysis support for portfolio management activities
- Provide fixed interest securities research and analysis support for portfolio management activities
Where this can lead
Brokerage Manager
Your journey starts here, building a solid foundation in compliance and brokerage operations. Where you go next is up to you, but the skills you hone in this role will open many doors. We're here to support your growth, whether that's into leadership, deep specialisation, or even a different part of the finance world.
See the whole journey →Showing 6 roles, drawn from 10 job records mapped to this qualification.
Skills it covers
What the job actually needs. These are the standards the units are built against, in the words employers and awarding bodies already use for the work itself.
How you’ll actually learn this
One-to-one, on your own real work
A qualification is usually something done to you: sit the class, sit the exam, hope it sticks. Here it’s the opposite. You learn it one-to-one with a companion, on your own real work, and you keep going until you can use it, not just recall it.
Applied to your work in any of these jobs
This unit covers the role and responsibilities of the Financial Services Authority within the UK regulatory infrastructure. Learners will study the Financial Services and Markets Act 2000, associated legislation, EU directives, and the FSA Conduct of Business Sourcebook.
- Remember
- Understand
- Apply
- Analyse
- Evaluate
- Create
Built for CISI Level 3 Certificate in Securities
5 units in this credential, in the order it lists them, awarded by Chartered Institute for Securities & Investment.
- FSA Financial Regulation
- Principles of Financial Regulation
- Principles of UK Financial Regulation
- Securities
- UK Financial Regulation
One to one, not one to many
No two people run this the same way
A course is written once and handed to everyone. This is assembled around you, and keeps changing as it learns you. Five things it reads, and what each one changes.
- Your actual work Every unit is taught against a live piece of your own work, not a worked example from a textbook.
- What you already know The first conversation finds your starting point, so you skip what you can already do and spend the time on what you cannot.
- The conditions you learn under Not a learning-styles quiz. The evidence does not support those. The dimensions the research does back, read once and used to shape the plan.
- How far you got last time It picks up mid-thought. The tutor knows what you said, what you struggled with, and what it asked you to try.
- Which tutor suits the moment Twelve of them, each for a different kind of thinking. The one who walks you through a first idea is not the one who stress-tests it.
See how you learn, free. Eight questions, no sign-up. A directional taster; the diagnostic inside Zavmo goes deeper and keeps adapting.
Why it sticks
Most courses stop at remembering
There’s a well-known ladder of how deeply you learn something, called Bloom’s Taxonomy. Most courses get you up the first two rungs: you remember some facts, you pass a test, you forget it. Real skill lives at the top. Judging, deciding, creating. And this isn’t a generic ladder: every rung has a named Zavmo tutor who walks you up it.
- 6CreateThe Creative Catalyst
- 5EvaluateThe Evidence Evaluator
- 4AnalyseThe Analyst
- 3ApplyThe Coach
- 2UnderstandThe Connector
- 1RememberThe Builder
Where most courses leave you Where Zavmo takes you
The value
Why the companion is worth £70 a month
You’re not paying for the units. They’re regulated, and the same wherever you earn them. You’re paying for the one thing that decides whether you actually get there: a companion that makes them stick, on your real work.
That is one-to-one on this qualification, every day, on the work you already do, for £70 a month. Your first module is free, so you can see the teaching before you pay for any of it. Billed monthly, cancel any time and billing stops.
Earned on your own work, taught to the top.
Everything you just read, learned one-to-one on the job you already do. Your first module is free, so you can see the teaching before you pay for any of it.
Build my plan, freeNo card. See how this qualification maps onto your role and meet the tutors who’d teach it, free. The learning begins when you subscribe. It’s £70 a month, billed monthly. Cancel any time and billing stops.