Cisi Publications 4e5c1d

CISI Publications Here is a list of our workbook titles - they are grouped under: IAQ, Certificate, International, Diploma, and Advanced Certificate. Our website is currently being updated - to order any of our workbooks and elearning products please our client services department on [email protected] or telephone +44(0)20 7645 0680 and a representative will you. Apologies for the inconvenience.

CISI IAQ BOOKS Asset Servicing The aim of this unit is to ensure that candidates have a sound understanding of the fundamentals of asset servicing as far as this relates to the needs of operations and istration staff. By heightening candidates' understanding of the core and surrounding areas of work which impact on their day-to-day role, the examination aims to educate staff, thereby reducing the risk to the firm and, ultimately, the consumer. The Asset Servicing workbook covers:

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Capital Instruments and Transactions Life Cycle of an Event Mandatory Events Voluntary Events IPOs Proxy Voting Tax Participants Legal and Compliance Risk and Controls

Collective Investment Schemes istration The aim of this unit is to ensure that candidates have an introduction to Collective Investment Schemes istration as it relates to operations and istration staff. The exam is appropriate for staff who have been working in the industry for up to 18 months. This workbook covers:

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Regulatory Controls Constitution Roles and Responsibilities Investment and Borrowing Powers Investor Transactions Registration and Settlement Distribution of Income Investor Communications Taxation

CREST Settlement The aim of this unit is to ensure that candidates have an understanding of CREST settlement as it relates to the needs of operations and istration staff. This unit is appropriate for staff who have been working in the industry for a period of up to 18 months. This workbook is the authoritative text on CREST and covers:

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Scope and Operational Fundamentals of CREST Key Concepts Dematerialised Settlement of Domestic Securities Certificated Securities Settlement Stock Lending and Collateral Corporate Actions and Claims Processing International Settlements

Exchange-Traded Derivatives The aim of this unit is to ensure that candidates have an understanding of exchangetraded derivatives as they relate to the needs of operations and istration staff. This book is essential reading for those involved in all aspects of derivatives settlement, clearing and istration and covers:

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The History and Development of Derivative Markets An Introduction to Futures An Introduction to Options Derivative Use The Role of a Derivative Exchange The Role of the Clearing House The Basics of Margin Clearing and Settlement Derivatives Regulation and Compliance Risk and Controls

FSA Financial Regulation (IAQ) The aim of this unit is to ensure candidates have an understanding of the regulations and legislation that underpin the financial markets and the conduct of investment business. This workbook covers the regulatory framework for the financial services industry in the UK, including relevant details from the FSA Handbook. Topics covered include:

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The Regulatory Environment The Financial Services and Markets Act 2000 Associated Legislation and Regulation European Union Directives The FSA’s Conduct of Business and Client Assets Sourcebook Complaints and Redress

Global Securities Operations This book is an introduction to global securities services and istration as far as this relates to the needs of operations and istration staff and is the definitive book for those involved in all aspects of global custody and settlement. The workbook covers:

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Securities Main Industry Participants Settlement Characteristics Other Investor Services Aspects of Taxation

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Risk

Introduction to Securities & Investment The aim of this unit is to provide individuals looking for a career in the financial services industry with an understanding of the breadth of the industry, the regulatory framework, how the industry functions and the basics of the various financial instruments – shares, bonds, derivatives etc. This workbook, which fulfils the syllabus requirements of both CISI IAQ Unit 1: Introduction to Securities & Investment, and CISI Level 3 Award for Introduction to Investment, provides an ideal introduction to the world of financial services. Topics covered include:

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Economic Environment Financial Assets and Markets Equities Bonds Derivatives Investment Funds Financial Services Regulation Investment Wrappers, Taxation and Trusts Other Financial Products

ISA & CTF istration This workbook is a combined ISA istration & Child Trust Fund (CTF) workbook, and covers two exams:

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ISA istration - This examination replaces ISA & PEP istration following changes to the ISA rules and regulations which came into force on 6 April 2008. Please note: the sections that do not apply to ISA istration candidates are clearly marked. ISA & CTF istration - This examination comprises the elements covered in the ISA istration examination but also incorporates elements on child trust fund istration

The workbook covers:

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Regulation and Authorisation Investors and Applications Investment Rules and Restrictions Income and Tax Claims Holder Rights and Protection ISA Manager’s Charges and Expenses Withdrawals, Closure and Death of an Investor ISA Transfers Returns of Information and HMRC Inspections Child Trust Fund Applications Child Trust Fund Statements and Valuations Transferring a Child Trust Fund

IT in Investment Operations Information Technology in Investment Operations (ITIO) is a new IAQ unit aimed at IT staff new to the financial services sector. It is the first examination designed specifically for IT staff working in operations. It offers financial services IT staff a relevant and practical IAQ unit, and facilitates greater understanding and communication between Operations and IT staff. As well as forming part of the three tier IAQ structure, ITIO will also be a stand-alone qualification. Topics covered include:

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IT in the Securities Industry IT and Functional Flow of Financial Instruments The Role of IT in the Front Office The Role of IT in the Pre-Settlement Phase The Role of IT in the Settlement and Post-Settlement Phases The Impact of IT on Financial Control IT Management Managing Business Change The Globalisation of IT Services

Operational Risk This workbook provides an ideal introduction to the world of operational risk and ensures that candidates have an understanding of operational risk as it relates to the needs of operations and istration staff. This workbook covers:

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Credit Risk Market Risk Operational Risk The Causes, Events And Impact Of Operational Risk The Operational Risk Cycle And Control Functions Integrated Risk Management (IRM) Achieving Common Standards and Protection

OTC Derivatives istration The aim of this unit is to ensure that candidates have an understanding of OTC derivatives istration as it relates to the needs of operations and istration staff. This workbook provides a comprehensive introduction to over-the-counter derivatives istration, trading and settlement. Topics covered include:

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Forward Rate Agreements and Swaps OTC Options Other Principal Derivative Products Pricing Considerations Risk Theory Finance, ing and Regulatory Issues Operations

Principles of Financial Regulation (IAQ) The aim of the Principles of Financial Regulation qualification is to ensure that candidates have an understanding of the regulations and legislation that underpins the financial markets and the conduct of investment business more appropriate to the wholesale seeker. Topics covered include:

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The Regulatory Environment The Financial Services and Markets Act 2000 Associated Legislation and Regulation European Union Directives FSA Conduct of Business Sourcebook/Client Assets Sourcebook

Private Client istration The aim of this unit is to ensure that candidates have an understanding of private client istration as it relates to the needs of operations and istration staff. This unit is appropriate for staff who have been working in the industry for a period of up to 18 months. This workbook covers:

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Client Assets Data and Record Keeping Settlement Corporate Actions Collectives and Individual Savings s Taxation Other Types of Client s Overseas Investments Closing s

Risk in Financial Services Risk in Financial Services is a new examination that will ensure that candidates have a broad understanding of the general principles of business risk, the key risks that arise within the financial services industry, the influence of corporate governance, regulation and codes of conduct, and the approaches that are typically used to identify, reduce and manage specific aspects of risk. The corresponding CISI workbook is out now, covering:

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Principles of the Risk Management Framework Corporate Governance and Risk Oversight Risk-Related Regulation and Policy in Financial Services Operational Risk Credit Risk Market Risk Investment Risk Liquidity Risk Enterprise Risk Management (ERM)

Introduction to Investment - The Foundation Qualification Introduction to Investment is the ideal induction qualification for new staff across the industry. The CISI has developed a new syllabus for this stand-alone foundation examination. It reflects the needs of leading investment firms. Success in the examination constitutes the first of three units of the full Investment istration Qualification (IAQ). The workbook covers:

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Economic Environment Financial Assets and Markets Equities Bonds Derivatives Investment Funds Financial Services Regulation Investment Wrappers, Taxation and Trusts Other Financial Products

CISI CERTIFICATES BOOKS Commodity Derivatives The Certificate in Commodity Derivatives is a new globally-portable qualification that addresses the needs of the modern international commodity derivatives market. It has been developed with representatives from leading global financial services firms and input from major exchanges such as the London Metal Exchange, Liffe, and ICE, as well as the Futures and Options Association and accredited training providers, to provide employees advising and/or dealing in commodity derivatives on behalf of professional clients with the knowledge and skills required for their job roles. Topics covered in this workbook include:

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Underlying Commodity Markets Other Related Markets Commodity Derivatives Exchanges Principles of Exchange-Traded Commodities Futures and Options Principles of OTC Commodity Derivatives Principles of Clearing and Margin Delivery and Settlement Trading, Hedging and Investment Strategies Special Regulatory Requirements

Corporate Finance Regulation The Certificate in Corporate Finance is aimed at individuals working in corporate finance and related areas, such as venture capital, who need to demonstrate a sound understanding of both regulatory and technical aspects of the subject. To achieve the Certificate in Corporate Finance candidates will have to two exams: Corporate Finance Regulation (Unit 1), and Corporate Finance Technical Foundations (Unit 2). The Corporate Finance Regulation workbook is out now.

Derivatives The aim of Unit 3 - Derivatives is to ensure that individuals develop an understanding of the technical aspects of financial and commodity derivatives so that their employers may seek approved person status for them to advise and deal in the derivatives markets. This workbook covers:

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Introduction to Derivatives Underlying Markets Exchange-Traded Futures and Options Principles of Exchange-Traded Futures and Options Principles of OTC Derivatives Principles of Clearing Delivery and Settlement Trading, Hedging and Investment Strategies Special Regulatory Requirements

Financial Derivatives CISI Financial Derivatives enables holders of the CISI Certificate in Securities to the Certificate in Securities and Financial Derivatives if their work or interests change so that they require a knowledge of financial derivatives. This module is not suitable for candidates who require a knowledge of commodity derivatives the appropriate qualification for advising and dealing in derivatives is the Certificate in Derivatives. Topics covered include:

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Futures and Options Trading Principles of Exchange-Traded Futures and Options

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Principles of OTC Derivatives Principles of Clearing and Margin Trading, Hedging and Investment Strategies Special Regulatory Requirements

FSA Financial Regulation (Certificate) FSA Financial Regulation is the UK regulatory unit and forms the basis for the Certificates in Securities, Derivatives, Securities and Financial Derivatives and Investment Management. The aim of this unit is to ensure candidates have an understanding of the regulations and legislation that underpin the financial markets and the conduct of investment business. This workbook covers:

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The Regulatory Environment The Financial Services and Markets Act 2000 Associated Legislation and Regulation European Union Directives The FSA’s Conduct of Business and Client Assets Sourcebook Complaints and Redress

Investment & Risk Investment & Risk is a new Certificate unit aims to test candidates’ knowledge and understanding of the economic environment and the macro-economic context of financial advice, the main asset classes and investment products and their characteristics, investment returns and risk measurement, the principles of taxation in the UK and the investor’s risk profile. The unit will also assess candidates’ ability to analyse clients’ circumstances and apply suitable investment product recommendations to meet clients’ needs. The workbook covers:

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Macro-Economic Factors that Affect Investment Returns Asset Classes and Investment Vehicles The Role of Socially Responsible and Ethical Investment< Adviceli>Investment Risk Principles of Taxation for UK Resident and Domiciled Individuals The Process of Financial Advice Investment Advice

Investment Management The Certificate in Investment Management is the appropriate competence-based qualification targeted at investment professionals engaged in managing investments, dealing in/advising on securities or derivatives and undertaking activities as a broker fund-advisor. This workbook covers:

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Economics Financial Mathematics and Statistics Industry Regulation Asset Classes and Investment Strategies Financial Markets ing Investment Analysis Taxation Portfolio Management Performance Measurement

Principles of Financial Regulation (Certificate) The aim of the Principles of Financial Regulation qualification is to ensure that candidates have an understanding of the regulations and legislation that underpins the financial markets and the conduct of investment business more appropriate to the wholesale seeker. Topics covered include:

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The Regulatory Environment The Financial Services and Markets Act 2000 Associated Legislation and Regulation European Union Directives FSA Conduct of Business Sourcebook/Client Assets Sourcebook

This workbook covers exams from 1 November 2009 to 30 June 2010.

Risk in Financial Services Risk in Financial Services is a new examination that will ensure that candidates have a broad understanding of the general principles of business risk, the key risks that arise within the financial services industry, the influence of corporate governance, regulation and codes of conduct, and the approaches that are typically used to identify, reduce and manage specific aspects of risk. The corresponding CISI workbook is out now, covering:

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Principles of the Risk Management Framework Corporate Governance and Risk Oversight Risk-Related Regulation and Policy in Financial Services Operational Risk Credit Risk Market Risk Investment Risk Liquidity Risk Enterprise Risk Management (ERM)

Securities The aim of Unit 2 - Securities is to ensure that individuals develop a good understanding of the technical aspects of securities so that their employers may seek approved person status for them to advise and deal in securities. Topics covered in this workbook include:

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Securities New Issues Primary and Secondary Markets Settlement Special Regulatory Requirements ing Analysis Risk and Reward

CISI INTERNATIONAL BOOKS Dubai International Financial Centre (DIFC) Rules & Regulations The CISI and the Dubai International Financial Exchange (DIFX) Academy have launched a new, tly developed Dubai International Financial Centre (DIFC) Rules & Regulations exam for the financial services industry in the region. This exam will be based largely on the requirements of the Dubai Financial Services Authority (DFSA) which regulates financial services in the DIFC to international standards. The DIFC Rules & Regulations workbook covers:

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The Financial Free Zone General (GEN) Authorisation (AUT) Conduct of Business (COB) Supervision (SUP) Enforcement (ENF) Ancillary Service Providers (ASP) Anti-Money Laundering (AML) Islamic Financial Business (ISF) Offered Securities Rules (OSR) Markets Law DIFC Law No. 12 of 2004, as amended Collective Investment Rules (CIR)

International Certificate in Investment Management (Mandarin) The Mandarin translation of the first edition of International Investment Management has been released, covering exams from 6 April 2009 to 30 April 2010. Targeted at professionals engaged in managing investments, International Investment Management provides a firm grasp of the different asset classes and financial markets, as well as the underpinning disciplines of economics, financial mathematics and ing. The workbook helps candidates prepare for the industry issues they are likely to encounter and provides coverage of the main tools of investment management:

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Investment analysis Portfolio management Performance measurement

International Certificate in Wealth Management The International Certificate in Wealth Management(formerly known as, and revised from, the International Certificate in Financial Advice) allows firms to ensure that their staff understand the range of assets and investment products that are available in the market. It offers an understanding of the fundamentals of providing financial advice can be used to find appropriate solutions to meet the needs of clients for investment, retirement, protection and estate and tax planning. The qualification is appropriate for staff working in private banking and wealth management roles who want to develop a comprehensive understanding of how to deliver wealth management advice. It will also provide a strong foundation for those who wish to then go on and further develop their ability and skills by undertaking the SII’s new programme in Wealth Management. The workbook covers:

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Financial Services Industry and Economic Background Fiduciary Relationships Financial Advice and Risk Financial Assets and Markets

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Investment Funds Investment and Retirement Planning Protection Planning Estate and Tax Planning

International Introduction to Investment This workbook provides an ideal introduction to the world of financial services. This workbook fulfils the syllabus requirements of both CISI Level 3 Award for Introduction to Investment, and IAQ Unit 1: Introduction to Securities and Investment. Topics covered include:

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Financial Services Industry Economic Environment Financial Assets & Markets Equities Bonds Derivatives Investment Funds Regulation Other Financial Products Taxation and Trusts

International Introduction to Securities & Investment This workbook provides an introduction to the world of finance and the global financial services industry for candidates working outside the UK. The International Introduction to Securities & Investment workbook covers:

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Financial Services Industry Economic Environment Financial Assets & Markets Equities Bonds Derivatives Investment Funds Regulation Other Financial Products Taxation and Trusts

International Investment Management International Certificate in Investment Management is the appropriate competence-based qualification targeted at investment professionals engaged around the world in managing investments, dealing in/advising on securities or derivatives and undertaking activities as a broker fund-advisor. The International Investment Management workbook covers:

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Economics Financial Mathematics and Statistics Industry Regulation Asset Classes Financial Markets ing Investment Analysis Taxation Portfolio Management

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Performance Measurement

Islamic Finance Qualification The Islamic Finance Qualification (IFQ) has been developed in conjunction with Ecole Supérieure des Affaires in Beirut (one of the leading business schools in the Middle East), and is a ground-breaking qualification that covers Islamic finance from both a technical and Sharia’a perspective, providing the first international benchmark in the area of Islamic finance. This qualification will assure regulators, employers and consumers that candidates and employers can perform their role according to Islamic banking (Sharia’a) requirements. The IFQ workbook covers:

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The Basis of Islamic Banking and Finance An Introduction to Islamic Banking and Finance Islamic Law of Contracts Financial Techniques Applied by Islamic Banks Financial Statements for Islamic Banks Islamic Corporate Governance Islamic Asset and Fund Management The Islamic Bond Market - Sukuk Islamic Insurance - Takaful

CISI DIPLOMA BOOKS

Private Client Investment Advice & Management The Institute's flagship qualification, the CISI Diploma is the UK's leading postgraduate finance qualification and covers the areas of securities, investment, compliance, derivatives, corporate finance and operations. The aims of Private Client Investment Advice & Management (PCIAM) include developing a broad understanding of the principles of private client investment, identifying the investment requirements of clients, and selecting suitable products available to meet the clients’ needs. The PCIAM workbook is out now, covering the following topics:

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Financial Advice Within a Regulated Environment Investment Taxation Financial Markets Trusts and Trustees Financial Instruments and Products Principles of Financial Advice

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Portfolio Performance and Review

CISI ADVANCED CERTIFICATES BOOKS Advanced Global Securities Operations The Advanced Certificate in Global Securities Operations (AGSO) is a new award, aimed at individuals working in operations and/or istration who are seeking to develop their professional and technical skills as operations specialists in the financial services industry. It will be of particular value to firms keen to prepare staff for more demanding roles which require a broader understanding of the environment in which the firm operates. The Advanced Certificate in Global Securities Operations is achieved through ing Module 1: Global Securities Operations (IAQ™ programme), and Module 2: Advanced Global Securities Operations. The AGSO workbook covers:

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Opening UK Market and Stock Exchange Fees and Taxes Settlement Custodians Stock Lending and Stock Borrowing Cash Management Corporate Actions Straight-Through Processing Service Level Agreements Managing Client Transitions Market Developments

Advanced Investment Schemes istration The Advanced Certificate in Investment Schemes istration (AISA) is a new award, aimed at individuals working in operations and/or istration who are seeking to develop their professional and technical skills as operations specialists in the financial services industry. It will be of particular value to firms keen to prepare staff for more demanding roles which require a broader understanding of the environment in which the firm operates. The Advanced Certificate in Investment Schemes istration is achieved through ing Module 1: Collective Investment Schemes istration (IAQ™ programme), and Module 2: Advanced Investment Schemes istration. The AISA workbook covers:

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Overview of UK Investment Schemes Development of UK Investment Schemes Legal and Regulatory Framework Valuations, Pricing and Dealing Performance Measurement Taxation Reporting and ing Investor Servicing

Advanced Operational Risk The Institute’s Advanced Operational Risk workbook will appeal to staff regardless of their industry sector as it enables them to understand the risks firms face and the means to mitigate them. The Advanced Certificate in Operational Risk is achieved through ing Module 1: Operational Risk (IAQ™ programme), and Module 2: Advanced Operational Risk. The overall aims of the Advanced Certificate in Operational Risk are:

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To assess a candidate’s understanding of operational risk issues in real work scenarios To test a candidate’s ability to demonstrate awareness of enterprisewide risk issues and approaches to risk management To allow candidates to demonstrate awareness of the costs and

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benefits of managing risks in their working environment and the impact of risk management on other business units in the organisation To test that candidates can determine the consequences of a change in policy or structure, such as staff reductions, physical relocations, changes in IT systems and outsourcing and be able to explain the risks resulting from such changes To enable candidates to demonstrate a practical understanding of the operational risk environment, to show how established approaches to operational risk can be used in the everyday working environment