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Financial Crime and Cyber Security

Qualification & CPD Opportunities


for you and your firm

The severe threat of malicious activity such as hacking, defamation of privacy and denial-of-service attacks are becoming
more recognised - firms of all size are raising security measures and adapting their internal systems to ensure they are
integrating the latest cyber threat intelligence .
Just how much of a role do people play in risky behaviour? User negligence and human error is at the heart of the cyber crime
problem, and a lack of employee understanding with regards to cyber crime can be highly damaging to firms. Organisations
can fight and prevent such incidents by building awareness and educating staff.
To support the financial services industry and our members, we have developed an extensive training and CPD programme
which includes:

New qualifications -
Combating Financial Crime and Managing Cyber Crime
While it is true that Cyber is the
Full-day and half-day training courses big growth area, traditional crimes
One hour CPD seminars are not just going away; they are
E-learning becoming cyber-enabled
Mark Johnson, CEO,
The Risk Management Group
Combating Financial Crime

What?
Combating Financial Crime qualification, the CISI Level 3 Award in Combating Financial Crime, provides candidates with an overview
of financial crime with an international focus and an emphasis on the practitioer response to financial crime. It can be taken as a stand-
alone award or as a unit of the Investment Operations Certificate (IOC).
The unit has been designed to complement our new examination, Managing Cyber Crime. Candidates who take both
qualifications will be awarded the Level 3 Certificate in the Prevention of Financial and Cyber Crime.
When combined with our UK Financial Regulation exam or UK Regulation and Professional Integrity exam, candidates will be
awarded the Level 3 Certificate in Combating Financial Crime.

Summary Syllabus
The background and nature of Money laundering Corruption
financial crime - The role of international bodies - Mutual legal assistance
- Governmental and quasi- - Consent regimes - Corruption indicators
governmental approaches to CFC
- Best practice Terrorist financing The role of the financial services
- Asset recovery industry
Financial crime risk management - Regulatory bodies
Fraud - Considerations for the financial - Relations with regulators
- Fraud classes services - Specific responsibilities
- Investment Fraud - Risks - Compliance
- Market abuse - Practical business safeguards - Customer Due Diligence (CDD)
- Sarbanes-Oxley Act (2002) - Reporting obligations
- Tax evasion Bribery - Record keeping obligations

When?
The workbook and exam are both available now.

Who?
The scope of the syllabus makes the qualification suitable for Compliance Officers and Money Laundering Reporting Officers,
those involved in regulation, law enforcement, trade and commerce and individuals from bi-lateral development institutions
and civil society organisations.
Assessment
A one-hour, 50 multiple-choice question exam taken by computer based testing (CBT).
Visit cisi.org/cbt to find your nearest venue. cisi.org/cfc
Managing Cyber Security

What?
Managing Cyber Security, the CISI Level 3 Award in Managing Cyber Security, is a new qualification developed to provide
candidates with a basic knowledge of the threat of cyber crime. Candidates will be able to evaluate the risks to the financial
services industry, and develop effective security solutions to prevent, detect and mitigate cyber attacks. It can be taken as a
stand-alone award or as a unit of the Investment Operations Certificate (IOC). It has also been designed to complement our
Combating Financial Crime qualification. Candidates who take both qualifications will be awarded the CISI Level 3 Certificate
in the Prevention of Financial and Cyber Crime.
When combined with our UK Financial Regulation exam or our UK Regulation and Professional Integrity exam, candidates
will be awarded the CISI Level 3 Certificate in Managing Cyber Security. In addition, candidates who combine Managing
Cyber Security with the IT in Investment Operations exam will be awarded the CISI Level 3 Certificate in Cyber Security and
Information Technology in Investment Operations.
Summary Syllabus

The background and nature of The public-private interface in Combating cyber crime
financial crime combating cyber crime - Proactive governance
- Definitions - Law enforcement agencies - Risk management
- Technical cyber crime attacks - Standards and best practice - Stress testing
- The human element - The financial services industry - Incident response
- Business continuity
The legislative environment Cyber crime and the financial
- Legal concepts services industry Trends in economic crime
- UK legislation and relevant foreign - Recognising the threat compliance
legislation - Known vulnerabilities - Emerging threats
- Cyber crime detection - Ethical issues

When?
The workbook and exam are both available now.

Who?
The scope of the syllabus makes the qualification suitable for Compliance Officers and Money Laundering Reporting Officers,
those involved in regulation, law enforcement, trade and commerce and individuals from bi-lateral development institutions
and civil society organisations. Managing cyber-crime affects all areas within financial institutions and individuals from various
roles will benefit from undertaking this unit.
Assessment
A one-hour, 50 multiple-choice question exam taken by computer based testing (CBT).
Visit cisi.org/cbt to find your nearest venue

cisi.org/mcs
Financial Crime CPD Opportunities for you
and your firm
Professional Refresher elearning modules | Free for CISI
members

Cyber Crime | Financial Crime | Anti-Money Laundering |


Information Security & Data Protection | Market Abuse | Risk and more

Professional Refresher is an online learning system which allows self-administered testing


on over 60 topics covering wealth management, operations,capital markets, Islamic
finance, compliance and risk.

cisi.org/pr

Members who cant make it to a seminar can catch up on CISI TV where a selection of the Institutes most popular CPD
seminars are available to watch online, anywhere, anytime. Seminars include:
- Economic and cyber crime conference 2015 - economic cyber crime overview
- Economic and cyber crime conference 2015 - cyber threats and the response
- Economic crime and cyber resilience: the next world war?
And many more hot topic discussions.

cisi.org/cisitv

CPD Events
We also offer training through full-day and half-day CPD courses
and free one seminars for CISI members.

cisi.org/events

AML App
Do you know what to look for? Prove it! Download our Anti-Money Laundering app from the Apple App Store for iPhone, iPad
and iPod Touch.

cisi.org/amlapp

For more information about our financial and cyber crime opportunities visit cisi.org/crime
If you are interested in CISI membership visit cisi.org/membership or email crm/cisi.org

Apr 2016