CISI Foundation Qualifications

CISI Introduction to Securities & Investment (UK)

Official CISI Accredited Training Partner

Foundation-level preparation for the UK CISI Introduction to Investment examination, updated to Version 26 for exams from 1 August 2026.

200 Practice Questions Detailed Study Notes Realistic Mock Exams

Course syllabus information reviewed for 2026. Always check the awarding body’s latest official syllabus and candidate updates before booking or sitting your exam.

Exactly what is included

5 mock exams × 50 questions · 200 unique questions · 250 total question slots · unlimited retakes
Focus Learn · key areas, pitfalls, exam traps & key numbers
Flashcards · fun, fast and effective recall
Exam cheat sheet · key facts, rules and numbers by chapter
Audio Learning · every chapter in audio
AI Analyzer & Mentor · pinpoints your weak areas
Study Mode Exams · learn while you train
AI Chat trained specifically for this exam
Community-polished data, improved every day
Up-to-date, accuracy-checked content

AI Audio Summaries New

Listen to course modules on the go. Perfect for studying while driving or commuting.

🎧 Audio

* This is a chapter sample. All audio is available in the full version.

Build a foundation across the UK financial-services sector, economics, securities, funds, derivatives, regulation, taxation and advice. This is the UK examination—not the separate International Introduction to Securities & Investment—and the complete learning backend reflects current Version 26 changes including the updated FSCS bank-deposit limit and ISA rules.

Key Benefits

Broad investment foundation

Connect markets, products, funds, derivatives, regulation, taxation and financial advice through 11 chapter learning paths.

✓ 11 detailed summaries
✓ Product comparisons
✓ UK market context

Exam-standard practice

Complete five timed 50-question mocks weighted to the official examination specification.

✓ 200 distinct primary questions
✓ 60-minute timing
✓ Explanation-led review

Current Version 26 coverage

Study the current UK regulation, consumer protection and wrapper rules with every official update applied.

✓ Current FSCS limits
✓ FCA objective update
✓ 2026–28 ISA changes

Syllabus

Module 1: Introduction: The Financial Services Sector 6% syllabus weight

🎧 Audio

Purpose, structure and participants of the UK and international financial-services industry.

• Role of financial services
• Industry participants
• Primary and secondary markets

Module 2: The Economic Environment 8% syllabus weight

Economic indicators, policy, interest rates, inflation and their investment effects.

• Economic cycle
• Monetary and fiscal policy
• Exchange and interest rates

Module 3: Equities 18% syllabus weight

Equity characteristics, issuance, trading, valuation, returns and corporate actions.

• Ordinary and preference shares
• Stock exchanges
• Dividends and corporate actions

Module 4: Bonds 14% syllabus weight

Government and corporate debt, pricing, yields, credit risk and market conventions.

• Bond features
• Price and yield
• Credit and interest-rate risk

Module 5: Other Markets and Investments 8% syllabus weight

Money markets, property, commodities, foreign exchange and alternative investments.

• Money markets
• Property and commodities
• Foreign exchange

Module 6: Derivatives 8% syllabus weight

Uses and basic mechanics of futures, options, forwards and swaps.

• Hedging and speculation
• Futures and options
• OTC derivatives

Module 7: Investment Funds 12% syllabus weight

Open- and closed-ended funds, ETFs, pricing, dealing and costs.

• Collective investment schemes
• Fund structures
• Charges and valuation

Module 8: Financial Services Regulation and Professional Integrity 8% syllabus weight

UK regulators, authorisation, conduct, financial crime and consumer protection.

• FCA and PRA
• Professional integrity
• Financial crime and FSCS

Module 9: Taxation, Investment Wrappers and Trusts 8% syllabus weight

UK tax principles, ISAs, pensions, trusts and estate-planning foundations.

• Income and capital gains tax
• ISAs and pensions
• Trust basics

Module 10: Other Financial Products 4% syllabus weight

Banking, lending, mortgages and insurance products.

• Deposits and lending
• Mortgages
• Protection products

Module 11: Financial Advice 6% syllabus weight

Advice process, client objectives, risk, suitability and ongoing review.

• Fact-find and objectives
• Risk profiling
• Suitability and review

Frequently Asked Questions

This is the UK Introduction to Investment syllabus. It is separate from the International Introduction to Securities & Investment (IISI) course already offered on the site.

The exam contains 50 multiple-choice questions, lasts 60 minutes and uses a 70% pass standard.

The page is aligned to Version 26, effective from 1 August 2026 to 31 July 2027, including the CISI candidate-update changes.

The course includes five full timed mock exams, 200 distinct primary mock questions, 130 flashcards, 83 searchable revision references, 11 chapter summaries and a Version 26 AI tutor.

Yes! Test your knowledge and review detailed explanations with the free CISI Introduction to Securities & Investment (UK) Mock Exam Preview below. It contains 15 exam-style questions from one named syllabus topic; the full course provides complete mock exams and syllabus coverage.

Interactive preview

Free CISI Introduction to Securities & Investment (UK) Practice Questions & Exam Preview

Try 15 CISI Introduction to Securities & Investment (UK) practice questions from Element 3: Equities

Practice CISI Introduction to Securities & Investment (UK) exam questions with answers and explanations. The full course includes 5 mock exams and complete syllabus coverage.

Exam Preview

Element 3: Equities

Question 1 of 15

Which statement most accurately describes private and public companies?

1 / 15

Flashcards

Card 1 of 10Chapter 1 - Financial Sector

Question

What should an ISI candidate recall about Financial-sector purpose?

Tap to reveal answer

Focus Learn

Key Examinable Areas6

Roles of banks, investment banks, insurers, pension funds and fund managers
Functions of brokers, advisers, custodians, platforms and third-party administrators
Difference between retail and professional business and their customers
Independent, restricted and execution-only distribution channels
Fintech models including robo-advice, peer-to-peer finance and crowdfunding
Environmental, social and governance investment approaches

Common Pitfalls to Avoid4

Exam Traps3

Key Numbers2

Chapter 1: Introduction: The Financial Services Sector

The financial-services sector connects organisations that need capital with savers and investors who have funds available. It does more than transfer money: firms provide payments, lending, execution, advice, portfolio management, protection, custody, settlement and administration. The professional or wholesale sector serves governments, companies, financial institutions and other large organisations in equity, bond, foreign-exchange, derivatives and institutional insurance markets. Retail business serves individuals through deposits, mortgages, consumer borrowing, investments, pensions, protection and financial planning.

The participant's role determines both the service and the risk. Retail and commercial banks accept deposits, lend and process payments. Investment banks arrange securit…

Unlock all Focus Learn

Open every chapter’s key areas, pitfalls, exam traps and key numbers.

Adaptive study tools

Focus weak topics, learn with feedback, then switch to exam conditions.

Practice modes

Learn first. Then prove you’re ready.

Learn with feedback, then switch to exam conditions.

Study Mode

Instant feedback & explanations

See the answer and explanation after each choice.

Exam Mode

Realistic exam simulation

Use the timer, keep answers hidden, then review your result.

Who Is This For?

✓ New entrants to UK financial services

✓ Operations and support staff building investment knowledge

✓ Candidates who need the UK rather than international introduction syllabus