The aim of the DSI Integrity Module is to make professionals, who are active in the world of investments, extra aware of the unique position they hold in relation to the clients. Clients rightfully expect their financial investments to be handled by independent experts in an honest and sincere manner. The DSI Integrity Module is a mandatory requirement for people wishing to be included in the DSI register as investment advisers. This unique NIBE-SVV programme makes efficient and practical use of e-Learning to teach you about legislation, regulations and integrity issues in the securities sector.
This module has been specially developed for people wanting to qualify as investment specialists in the DSI register, such as: securities traders, investment advisors, asset managers, investment analysts, (new) legal affairs employees at security-lending institutions and compliance officers.
This course assumes that you posses HVE-level professional and intellectual capacities and possess a certain degree of knowledge and insight about the securities sector.
NIBE-SVV is the number one financial trainer in the banking, insurance and securities industries and sets the standard for the market. This guarantees you the highest quality by far. For many years, NIBE-SVV has been the leading training institution for the Dutch financial-services sector. NIBE-SVV uses the latest literature and possesses a modern online learning environment. This online learning environment includes all information that you will require for your studies. The theory involved in this course will be conveyed via a clearly structured digital textbook. You can test your knowledge and understanding of the theory by means of exercises and questions made available in the online learning environment. The online learning platform features a digital information centre that helps you master the theory quickly and effectively.
Goal and structure
By following this module, you will realise why clients find it so important to deal with independent, honest and sincere securities specialists. You will gain basic insights into the objectives and implementations of the important laws and regulations in the securities sector. Particular attention will be given to dealing with integrity and professional responsibility, and how to address ethical and integrity-related dilemmas in your day-to-day affairs. This module can be fully completed on an independent study basis.
Study load and duration
This module can be followed through e-learning. You determine your own pace. This course takes on average 2 months to complete. Studying the subject matter and making the various assignments lead to a study load of approximately 5 hours a week.
Ethics as professional skill and responsibility
- Integrity as professional responsibility for securities specialists
- Integrity and rules & codes
- Consequences for breaching laws and regulations
Laws and regulations securities specialists
- Functional regulation model and tasks and authority of financial regulators Authority for the Financial Markets (AFM) and the DNB
- Aim and methods of the Financial Supervision Act (Wft)
- Structure and tasks of NYSE-Euronext Amsterdam
- Relationship NYSE-Euronext Amsterdam and permitted institutions
- Trading regulations at NYSE-Euronext Amsterdam
- Relationship NYSE-Euronext Amsterdam and AFM
- Code of conduct NYSE-Euronext Amsterdam and AFM
- Visions defining the scope of compliance
- Tasks, authority and activities of compliance officers
- Compliance arrangements: aim and methods Chinese Walls, Managing price-sensitive information, Insider trading Guideline
- Target groups, registered parties and participants of DSI
- Objective and structure of the DSI
- DSI code of conduct
Ethics and integrity in practice
- Underlying values in securities transactions
- Practical examples of integrity issues
- Strategies for dealing with integrity issues
Exam and diploma
This course is completed by sitting an exam, which involves digitally answering multiple-choice questions in a test centre. Upon passing this test, you will be awarded the NIBE-SVV ‘DSI Integrity Module’ diploma. You will need this diploma to be included in the DSI register.
Types of courses
This course is available as an e-learning module. This version does not involve traditional meetings. The training also includes a digital exam. Exam costs have been mentioned separately in the costs overview. You are free to choose your own exam date.
Wilt u in 2017 of in 2018 starten met deze opleiding?
Ieder jaar actualiseren wij het opleidingsaanbod. Hieronder ziet u de opleiding die start in 2018. Nu starten? Klik dan op Start in 2017.
Start in 2017
DSI Integrity Module
Voor vragen over deze opleiding kunt u 035 200 4676 bellen. Deze opleiding op maat maken voor uw organisatie of op uw eigen locatie laten verzorgen? Bel 035 750 61 57.
Totaalprijs (exclusief BTW)
E-learning: € 190,-
Exam fees: € 136,-
Optional: printed syllabus € 49,-