Foundations of Securities & Investment Markets

This 59 CPD hour specialised certification programme provides a comprehensive introduction to the structure, function, and participants of global securities and investment markets. It is designed to equip individuals with the essential knowledge and understanding required to navigate the financial services sector with confidence and professionalism.

The programme begins by examining the key components of the investment chain, highlighting how financial markets connect savers and borrowers, and the vital role played by various institutions including investment banks, asset managers, and custodians. Participants gain a solid grounding in the purpose and structure of primary and secondary markets, and the instruments traded within them, such as equities, bonds, and derivatives.

Building upon this foundation, the course explores the characteristics of major asset classes and introduces the key regulatory bodies and frameworks governing financial markets in the UK and internationally. Learners are guided through market infrastructure, including exchanges, clearing houses, and settlement systems, enabling a clear understanding of how transactions are executed and recorded.

Further modules delve into the economic and financial factors that influence market performance, including interest rates, inflation, and geopolitical risk. Participants also examine the importance of responsible investing, with a focus on environmental, social, and governance (ESG) considerations, as well as the increasing role of technology and innovation in shaping financial markets.

The programme also introduces financial products and services such as mutual funds, investment trusts, exchange-traded funds (ETFs), and alternative investments. Attention is given to risk and return characteristics, product suitability, and investor profiles, laying the groundwork for effective investment strategy development.

Designed for new entrants to the financial services industry, career changers, or those preparing for regulatory qualifications, this certification provides a thorough overview of how modern securities and investment markets operate. By the end of the course, participants will be well-prepared to understand the regulatory landscape, interpret market behaviour, and support informed investment decision-making in a dynamic and evolving marketplace.