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The Chartered Institute for Securities & Investment (CISI) works closely with financial services regulators across the world to support the development of an informed and stable financial services industry. In many regulatory jursidications you will find mandatory licensing regimes which key personnel must follow.

The UAE Securities & Commodities Authority require all brokers and key back office staff to take a series of CISI qualifications. CCL Academy can help you prepare for these qualifications through a series of exam preparation courses.

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The Chartered Institute for Securities & Investment (CISI) developed the DIFC Rules and Regulations paper in collaboration with the Dubai Financial Services Authority (DFSA).

CCL Academy can help you prepare for the exam with our exam preparation course.

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The QFMA require key personnel of regulated firms to pass a Preparatory exam, a Regulatory exam and one Elective exam. Click read more for further details.

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The Qatar Financial Centre Regulatory Authority (QFCRA) have developed a regulatory qualification in association with the CISI.

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The Central Bank of Bahrain (CBB) require all individuals holding controlled functions in a conventional bank licensee to undergo a minimum of 15 hours of CPD training each year.

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In the United Kingdom (UK), investment firms who are regulated by the Financial Conduct Authority (FCA) and / or the Prudential Regulatory Authority (PRA) are required to employ staff who are competent.

For staff dealing with retail clients, the FCA specify expected qualifications in their Appropriate Qualifications Tables.

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The National Institute of Securities Markets (NISM) in India require Investment Advisors of SEBI-regulated firms to demonstrate their understanding of jurisdiction-specific rules and regulations in order to become qualified.

The International Certificate in Wealth & Investment Management (ICWIM) India is a bespoke qualification aimed at investment and wealth management practitioners and others dealing with high net worth clients who must meet the NISMs requirements.

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