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Investment Advisor Certification

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The Certified Institute for Further Accreditation
Investment Advisor Certification

Overview

The Investment Advisor Certificate (IAC) programme, offered by CIFA, is a comprehensive, graduate-entry certification engineered for financial students. It employs an e-learning structure, serving as a thorough introduction to critical elements in the investment profession including UK regulations, professional ethics, investment strategies, risk and taxation, and derivatives. This course is vital for ongoing professional development within the investment sector.


Ideal for graduates at the onset of their careers, the IAC certification aids in enhancing their financial knowledge and demonstrating their dedication to continuing education in the financial industry. The certificate also acts as a foundation for undertaking FCA regulated qualifications.



Unit 1 of the programme, titled “Introduction to UK Financial Regulation & Professional Integrity,” delves into the ten key areas of financial regulation and professional integrity. It covers topics such as the structure and functioning of UK financial markets, risk management within financial services, and the legal aspects of contracts and trusts. The module also scrutinises the role and significance of professional ethics and the regulators of the UK financial services. Furthermore, it offers insights into the governance, principles, and regulations set by the FCA and PRA, while examining their expectations regarding the competence of companies and individuals. This unit also enlightens students on the regulations pertaining to financial crimes and the procedures for complaints and redress. Lastly, it explores the FCA’s Conduct of Business Sourcebook (COBS).


Unit 2, or “Introduction to Investment, Risk & Taxation,” unfolds over eight chapters. This unit introduces students to various asset classes and the influence of the macroeconomic environment on these assets. It elucidates the fundamental principles of investment risk and return, along with an overview of investor and investment taxation. The unit also breaks down different types of investment products and provides a guide to planning and constructing investment portfolios. Lastly, it teaches students how to provide effective investment advice and outlines the process of portfolio performance review.


Unit 3, focused on “Derivatives,” expands across ten chapters. Beginning with a broad overview of derivatives, it gradually delves into the details of underlying assets, exchange-traded futures and options, and over-the-counter (OTC) derivatives. It also covers the processes of clearing, delivery, and settlement. Furthermore, the module enlightens students on portfolio research and construction, various trading, hedging, and investment strategies, and the selection and administration of investments. Lastly, it elaborates on the regulatory requirements pertaining to derivatives.


In essence, the IAC programme not only offers a comprehensive understanding of the UK’s financial regulatory framework and investment strategies but also instils a strong professional ethic in its students. It serves as an instrumental stepping stone for those aspiring to excel in the financial industry.


This comprehensive curriculum allows students to gain a deep understanding of the financial regulatory landscape, various investment strategies, and professional ethics, setting a solid foundation for their career in the financial sector.

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