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CISI Investment Operations Certificate (IOC)

How would you like to study?

Live Online
Live Online

Live Online is an interactive way to study wherever you are. Live Online offers you the benefits of the traditional classroom but with the flexibility of the online environment. The lessons are fully interactive, delivered live by our expert lecturers following the same exam focused material and structure as traditional classroom courses.

Courses from €225


Live Online
Distance Learning

Study at a pace that suits you. Distance Learning is ideal for students who want to fit their studies around their lifestyle and combines our CISI approved study materials, online resources and lecturer support via email.

Courses from €225


Content & Structure

To achieve the IOC, delegates must pass two compulsory papers (Introduction to Securities & Investment and UK Financial Regulation) and one specialised technical paper from a choice of 13.

Each exam is based on a published syllabus, and is reviewed annually to reflect changes in the industry and the regulatory environment.

The Kaplan Distance Learning material includes the CISI official workbook and satisfies the CISI compulsory workbook purchase policy.

All exams are delivered by computer based testing (CBT). A worldwide network of test centres is used to ensure flexible scheduling, instant results and ease of completing the exam on screen. The CISI has test centres in over 70 countries.

Test centre locations can also be found on the CISI website.

Introductory Unit: Introduction to Securities & Investment

An overview of all areas of investment. This course is ideal if you are looking for an entry level qualification into the Financial Services arena. You can complete it in a few weeks. It is suitable for investment, banking and financial services workers.

As well as being the introductory unit of the Investment Operations Certificate (IOC), the Introduction to Investment can be taken as a standalone qualification.

Regulatory Unit: UK Financial Regulation

Ensures candidates have an understanding of the regulations and legislation that underpin financial markets in the conduct of investment business in the UK.

Technical Unit

  • Asset Servicing
  • Client Money and Assets
  • Collective Investment Schemes
  • Administration
  • Combating Financial Crime
  • Derivatives Operations
  • Global Financial Compliance
  • Global Securities Operations
  • IT in Investment Operations
  • Managing Cyber Security
  • Operational Risk
  • Pensions Administration
  • Platforms, Wealth Management and Service Providers
  • Risk in Financial Services
Study Hours* Course Exam Exam Format Pass Mark
Introduction to Securities & Investment 80-100 hours* - 50 questions
1 hour
Multiple choice
computer based testing
per unit
UK Financial Regulation 80-100 hours* 2 Days 75 questions
1 1/2 hours
Technical Unit 80-100 hours* - Exam lengths may vary,
but generally 50 questions (1 hour)

*Source: CISI website

Why Study Kaplan’s IOC Course?

Learning Manuals

Our manuals cover the entire course and leave nothing out.

Expert Tutors

Our tutors have full knowledge of the exam syllabus and the best methods for teaching.

Question Banks

A unique mix of CISI and Kaplan tutor created questions to use online or offline.