How you’d get this certificate
- Zavmo teaches you. You learn the units one-to-one with an AI tutor, on your own work.
- You register with an approved centre. That is a college, training provider or employer Chartered Institute for Securities & Investment has approved to offer this qualification. Zavmo is not an approved centre, so you register with them, not with us.
- The centre assesses, and Chartered Institute for Securities & Investment awards. A qualified assessor at the centre judges your evidence, and the certificate comes from Chartered Institute for Securities & Investment.
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. Zavmo teaches towards them on your own work, and work done here is recognised as prior learning under the agreements we hold.
Zavmo is not an awarding body, is not an approved centre, and is not affiliated with Chartered Institute for Securities & Investment. It does the teaching and the mapping. Chartered Institute for Securities & Investment sets this qualification and awards it, and a qualified human assessor makes the assessment decision.
Free first step
Try a free Future Fluency lesson first
The free part is a Future Fluency lesson on using AI at work. It is not part of this qualification. Next, a free account. We build your plan for this qualification as you set up. Teaching towards this qualification begins when you subscribe.
No card · Nothing to commit to
What each unit actually teaches you to do
FSA Financial Regulation Real 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 Regulation Real 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 Regulation Real 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.
Securities Real 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 Regulation Real 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 national standards these units are built against
What the job actually needs, in the words employers and awarding bodies already use for the work itself.
- Standard
Charge and control securities for financing
- Standard
Provide equity capital research and analysis support for portfolio management activities
- Standard
Provide fixed interest securities research and analysis support for portfolio management activities
The jobs these credits are mapped to
A qualification is never a dead end here. Each of these is a job record this qualification is a mapped route into.
- 2 records
- 1 record
- 1 record
- 2 records
- 1 record
- 2 records
Showing 6 roles, drawn from 10 job records mapped to this qualification. Near-identical records are folded together, and each row says how many it stands for.
Where this can lead
Brokerage Manager
This role builds a foundation in compliance and brokerage operations. It can lead to running a branch, overseeing compliance for a region, or heading up operations in wealth management.
See the whole journeyThe credits, and who awards them
Level 3 credits are regulated, and they are awarded by Chartered Institute for Securities & Investment rather than by Zavmo. 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 have covered and what is next.
What you would be collecting
FSA Financial RegulationPrinciples of Financial RegulationPrinciples of UK Financial RegulationSecuritiesUK Financial Regulation
Each one is a real unit registered against this qualification.
How you’d practise it
You don’t watch this. You do it.
You are not assessed on remembering this. You are assessed on applying it, analysing it, evaluating it and producing something. So that is what the practice is: projects, role play and your own live cases, with a tutor in the room.
The Practical Builder · your make-it-real tutor Illustration - Draft the real one Create
You do “FSA Financial Regulation” on a real document of your own. Zavmo works on the draft you have to send anyway, so the coursework and the job are the same piece of work.
What you leave holding
The standards this credential builds, in the shape the product keeps them
Nothing here is marked learned. There is no learner on a public page, so the map shows what the qualification covers rather than what anybody has done.
- 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
How you would learn this
One to one, on the work you already do
A tutor sets the task against your own job and marks the reasoning, at your pace. There is no cohort to fall behind.
A lesson from FSA Financial Regulation, one of this qualification's own units.
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.
- 1 Remember
- 2 Understand
- 3 Apply
- 4 Analyse
- 5 Evaluate
- 6 Create
It is £70 a month, billed monthly. Your free first module is Future Fluency, and you can cancel any time. Teaching towards this qualification begins when you subscribe.
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
Free tools
Want a read on where you stand?
Three free tools, no account needed. Each one ends with a role, a level and a way in.
Learned on your own work, taught one-to-one.
Everything you just read, learned one-to-one on the job you already do. Your free first module is Future Fluency, so you can see how the teaching works before you pay for anything.
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.
The title, level, credits, guided learning hours and unit learning outcomes on this page are taken from the Ofqual Register of Regulated Qualifications. Contains public sector information licensed under the Open Government Licence v3.0. Where this data comes from.