Diploma in Capital Markets: Key Features

Diploma
in Capital
Markets
Key
features
• Specialist qualification developed for
practitioners aspiring to more senior
roles
What is the Diploma in Capital Markets? • Flexibility for candidates to concentrate
on areas relevant to their chosen career
The Diploma in Capital Markets is a leading professional qualification for practitioners
path
working in wholesale securities markets. It is the final step in the CISI’s capital markets
study pathway and offers individuals the opportunity to gain specialist knowledge of • Addresses situations and issues which
financial markets, bonds and fixed income, financial derivatives and fund management. are encountered by practitioners and the
It covers all major and alternative asset classes and incorporates regulation, market best broad subject offering provides the skills
practice and risk management. required to operate effectively in all the
major areas of the industry
• Assessment requires the application
Who should study for the Diploma in Capital of knowledge via case studies and
the ability to explain techniques and
Markets? terminology effectively
The Diploma in Capital Markets is of value to those aspiring to progress in their chosen • Consolidates knowledge gained from
area of capital markets. With the in-depth theoretical and practical knowledge gained, the CISI’s Capital Markets Programme
candidates will be well prepared to advance to more senior management positions.
The practical techniques and skills developed through this qualification enable
successful candidates to demonstrate a very high level of competence to colleagues • MCSI designatory letters
and clients.
It is ideal for practitioners pursuing careers in treasury and financial controlling

functions, private equity and venture capital, brokerage, asset management, equity
analysis, portfolio management, fixed income analysis, fund management, financial
consulting, financial risk management, investor relations, internal audit and specialist
financial operations.
Regulatory Approval
The CISI has been recognised as an awarding body by Ofqual and as such both individuals
and firms can be confident that the CISI’s processes, policies and systems meet rigorous
quality assurance standards.
2/20
How is the qualification structured?

The Diploma is achieved by passing one multiple choice exam (two hour duration), and two narrative exam units (each of three hour
duration). It typically takes between 18 months and two years to achieve. The exams are demanding and candidates are advised to attempt
only one paper at each sitting.
Recommended study progression and times:
1. Level 3 Securities (100 hours) 2. Level 6 Financial Markets (200 hours)

(a unit of the Capital Markets Programme) • Economics and economic policy for financial markets
or Level 4 Securities (140 hours) • Structure and content of financial statements
(a unit of the Investment Advice Diploma) • Techniques and concepts of investment mathematics
• Risks and returns offered by fixed income securities and cash
Level 3 Securities and Level 4 Securities are taken via computer- • Risks and returns offered by equities and derivative investments
based testing which allows candidates to complete the exam in a
• Securities market structure, trading venues and custody and
number of locations globally at a time of their choosing. cisi.org/cbt
settlement processes
3. One unit of either: (each 200

hours)
i) Bonds & Fixed Interest Markets ii) Fund Management iii) Financial Derivatives
• Economics • Types of mandates • Principles of derivatives regulation
• Form and structure of securities-related • Obligations of investment management • Exchange traded derivatives
derivatives groups • Futures contracts
• Fixed-income analysis • Portfolio construction and management • Options contracts
• Fixed-income investors • Over-the-counter derivatives
• Government securities markets • Derivatives risk management
• Sterling fixed interest market
• International fixed-income securities
For information about study options visit cisi.org/dcm
Assessment
The narrative examination for Financial Markets is held twice a year, in the Summer and the Winter. The narrative exams for Bonds & Fixed
Interest Markets, Fund Management and Financial Derivatives are each held once per year, in the Summer or the Winter. For detailed
information visit cisi.org/examtimetable.
For a list of examination centres visit cisi.org/narrativevenues
Book your exam
Online – cisi.org/dcm Don’t forget to set your results preferences afterwards at

By phone – +44 20 7645 0777 cisi.org/resultsdashboard
Via email – [email protected]
Visit cisi.org/prices for current prices
Next steps
CISI Membership
On completion of the full award, candidates are eligible to become full Members (MCSI). This opportunity provides candidates with all the
benefits that membership of the leading industry professional body entails. Candidates may also strive from there to achieve individual
Chartered status, the pinnacle of professionalism. Visit cisi.org/membership
cisi.org/dcm +44 20 7645 0777 [email protected]

The CISI’s purpose is “to champion lifelong learning and integrity, raising individual standards of knowledge, skills and behaviour globally to
enhance public trust and confidence in financial services.”

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Diploma

It is ideal for practitioners pursuing careers in treasury and financial controlling

How is the qualification structured?

Recommended study progression and times:

1. Level 3 Securities (100 hours) 2. Level 6 Financial Markets (200 hours)

3. One unit of either: (each 200

For information about study options visit cisi.org/dcm

For a list of examination centres visit cisi.org/narrativevenues

Book your exam

Online – cisi.org/dcm Don’t forget to set your results preferences afterwards at

cisi.org/dcm +44 20 7645 0777 [email protected]

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