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Introduction to Securities and Investment

Module description

This module is intended for Investment Operations Specialist Degree Apprenticeship students who would like a basic introduction to the financial services industry with a focus on investments. You will study some of the main asset classes like equities, FX,  bonds, derivatives, investment funds and other financial products. The module also introduces you to topics like the economic environment, Markets, Financial Services Regulation, Taxation, and Investment wrappers.

Full module specification

Module title:Introduction to Securities and Investment
Module code:BEF1012DA
Module level:1
Academic year:2023/4
Module lecturers:
  • Mr Thomas Sisk - Convenor
Module credit:30
ECTS value:






Duration of module: Duration (weeks) - term 1:


Module aims

This module aims to provide students with a broad understanding on the fundamentals of securities and investment under the current economic environment within the Financial Services industry. This module also aims to introduce students to the importance of the wider economy, the importance of regulations, taxation, and reviews other financial products such as loans, life assurance and mortgages.

This module shows how understanding of the disadvantages and advantages and risks associated with financial assets can be provided to support an organisation’s management in investment decision-making and control. Students will learn how investment instruments or products are typically used within the industry and how they may meet specified client objectives. The overall aim is to introduce securities and investment from a wider user perspective.

ILO: Module-specific skills

  • 1. Discuss the financial services sector, its role and its participants, framed in a wider economic environment
  • 2. Evaluate the advantages, disadvantages and risk associated with each type of securities and investment
  • 3. Describe how an investment instrument or product is typically used within the industry and how it may meet specified client objectives through financial advice
  • 4. Gain insights in the role and functions of financial markets and central banks
  • 5. Understand the importance and function of regulation in the investment industry
  • 6. Explain the importance and function of regulation in the investment industry
  • 7. Describe the characteristics and benefits of other financial products like loans, mortgages and insurance products
  • 8. Explain the principles of taxation, use of trusts and investment wrappers

ILO: Discipline-specific skills

  • 9. Evidence a sound understanding of the financial services sector, the economic environment and main investment products
  • 10. Use financial concepts and conventions to apply investment principles in practical situations
  • 11. Evidence a broad knowledge of specific markets, supporting operational protocols and financial regulation

ILO: Personal and key skills

  • 12. Deliver 9high quality written and verbal communication skills
  • 13. Apply knowledge of relevant rules and principles to their own role and within their team and/or firm
  • 14. Demonstrate a sound understanding of the role of the function in which they work and how this role relates to other functions to the wider business

Learning activities and teaching methods (given in hours of study time)

Scheduled Learning and Teaching ActivitiesGuided independent studyPlacement / study abroad

Details of learning activities and teaching methods

CategoryHours of study timeDescription
Scheduled Learning & Teaching Activities14 hours (2 days)Masterclass/workshops
Scheduled Learning & Teaching Activities40 hoursOnline lectures / webinars and ELE activities
Scheduled Learning & Teaching Activities16 hoursRevision on CISI’s Revision Express
Guided independent study & work-based application of theory230 hoursReading, research, web-based activities, assignment / exam preparation and work -based application of theory

Formative assessment

Form of assessmentSize of the assessment (eg length / duration)ILOs assessedFeedback method
Mock exam1-hour 50 MCQs1-9Marks and written generic group feedback
Online discussionOnline discussion contributions1-14Online discussion feedback from peers and lecturer
Regular online quizzesRelevant quizzes, each taking about 20 minutes1-14Correct answers on ELE

Summative assessment (% of credit)

CourseworkWritten examsPractical exams

Details of summative assessment

Form of assessment% of creditSize of the assessment (eg length / duration)ILOs assessedFeedback method
Exam501 hour 50 MCQs1-9Written generic group feedback
Applied Exercise/ Assignment (Essay, report, or other agreed material or artefact)503,000 words or equivalent total1-14Individual written

Details of re-assessment (where required by referral or deferral)

Original form of assessmentForm of re-assessmentILOs re-assessedTimescale for re-assessment
Exam50% 1-hour 50 MCQs1-96 months
Applied Exercise/ Assignment (Essay, report, or other agreed material or artefact)50% 3,000 words or equivalent total1-136 months

Re-assessment notes

Defer – as first time

Refer – capped at 40%

Syllabus plan

  • Introduction to the Financial Services Sector
  • The economic environment
  • Financial assets and markets
  • Characteristics, benefits and risks of investing in equities
  • Characteristics, benefits and risks of investing in bonds
  • Uses, applications, benefits and risks of investing in Derivatives
  • Characteristics, benefits and risks of Investment Funds
  • Financial Services Regulation and Professional Integrity
  • Taxation, Investment Wrappers and Trusts
  • Other financial Products like loans, mortgages and protection products
  • The financial advice process and legal concepts

Indicative learning resources - Basic reading


  • Introduction to Securities and Investment, CISI Workbook Edition (most recent edition), the Chartered Institute for Securities and Investment.
  • Revision Express, CISI online, the Chartered Institute for Securities and Investment

Module has an active ELE page?


Indicative learning resources - Web based and electronic resources

MarketWatch, Revision Express (CISI), online materials on ELE

Origin date


Last revision date