Professionalism  Integrity  Excellence

The Chartered Institute for Securities & Investment is the leading professional body for securities, investment, wealth and financial planning professionals. Dedicated to professionalism since it emerged from the London Stock exchange in 1992, its purpose is to champion lifelong learning and integrity, raising individual standards of knowledge, skills and behaviour globally to enhance public trust and confidence in financial services.

To set standards of professional excellence and integrity for securities, investment, wealth and financial planning professionals, providing qualifications and promoting the highest level of competence to our members, individuals and firms

The CISI believes professionalism is the blend of three elements:
Knowledge - gaining the initial competence to do your job through professional qualifications, developed by practitioners for practitioners
Skills - continuing Professional Development (CPD) and ongoing learning which enables you to maintain competence through a professional body membership
Behaviour - upholding the highest standards of integrity by signing up to a professional body's code of conduct.

We believe a professional is someone who has a combination of knowledge and skills, and acts with integrity. Our purpose, as a professional body, is to provide and encourage the attributes necessary to be a professional.

Our Charitable Objectives

To promote, for the public benefit, the advancement and dissemination of knowledge in the field of securities and investments

To develop high ethical standards for practitioners in securities and investments and to promote such standards in the UK and overseas

To act as an authoritative body for the purpose of consultation and research in matters of education or public interest concerning investment in securities

As an educational charity, we are fully committed to developing the next generation of practitioners and to ensuring that a career in financial services is accessible to all. We are proud to be a signatory of the Race at Work Charter and the Women in Finance Charter. Our Diversity, Equity and Inclusion Commitment outlines our approach to embracing and celebrating differences in the workplace.

Our Executive Committee


Tracy Vegro OBE

Chief Executive

Kevin Moore, Chartered FCSI

Executive Director, Membership & Business Development

Karen Ashcroft

Executive Director, Finance & Resources

Mandy Gill

Executive Director, Learning

John Preston

Chief Operating Officer

Royal Charter

On Friday 9 October 2009, Her Majesty the Queen signed the Charter formally creating the Chartered Institute for Securities & Investment (CISI).

This is a significant milestone in the history of the Institute, as we join the ranks of professional bodies such as accountants, lawyers and bankers.

Sir Alan Yarrow, Chartered FCSI(Hon), Immediate Past Chair, said: “It is very pleasing that the CISI, which has built an enviable reputation for professionalism in the sector, has had its position as a pre-eminent professional body endorsed by the award of a Royal Charter. I would like to thank all of our members and corporate members for their commitment to high standards in qualifications, continuing professional development and the promotion of integrity and ethics: the foundation stones of our application to the Privy Council.”

More information on our Royal Charter

In March 2017, we joined forces with the Chartered Insurance Institute (CII) and the Chartered Banker Institute (CBI) to enhance and sustain the level of professionalism and trust in the financial services sector, resulting in the launch of the Chartered Body Alliance at the CISI’s headquarters in London. We, along with the two other founding bodies, seek to help consumers recognise the benefits of engaging with qualified sector professionals.

We will be working with the CII and the CBI to achieve greater public benefit by raising professionalism and trust across financial services and promoting high standards across the sector. With a joint website and social media channels we hope to represent the ‘gold standard’ across the sector, hosting joint events, and seeking to respond with a united voice to sector consultations that affect members across all three professional bodies.

While the activities of each body focus on different areas of financial services, between us we cover a wide range of activities including wealth management, insurance, financial planning, banking and capital market activities and cover over 200,000 financial service professionals.

Find out more

The history of the CISI

The first regulated exchange comes into existence in London and the modern Stock Exchange is born.

Securities Institute formed as an “institute for the individual practitioner in the securities profession”. It initially has 4,800 members ‘grandfathered’ out of the Stock Exchange. Graham Ross Russell becomes Chairman and Tim Nicholson is Chief Executive. Institute develops 18 regional branches after canvassing members for their views.

The Institute becomes a registered charity in England and Wales.

Membership in UK regions increases by 26% to reach a total of over 5000 for the first time.

In the year to March, exam entries rise to a record 54,620.

Securities Institute celebrates 10th anniversary.

Securities Institute changes its name to Securities & Investment Institute (SII).

The Institute launches offices in India and Singapore.

A year later an office is opened in Dubai and the institute launches its University Centres of Excellence programme.

After being granted Chartered Status, the SII changes its name to the Chartered Institute for Securities & Investment.

The CISI adopts its own coat of arms, an entitlement of being a Chartered body.

New international office and operations centre opens in Sri Lanka.

The CISI celebrates its 20th anniversary.

In April 2013, the CISI became the first professional body to require UK candidates taking customer facing entry level examinations for wholesale/capital markets financial services activities to pass an integrity test. In February 2014 this requirement was extended to also include candidates in Ireland, Europe and North America.

The CISI signs an agreement with the Universitat Pompeu Fabra and CaixaBank to certify 7,000 of its employees using a CISI international wealth management qualification.

CISI Chairman, Alan Yarrow becomes 686th Lord Mayor of the City of London.

The CISI merges with the Institute of Financial Planning (IFP) and becomes the UK licensing authority for the globally recognised CERTIFIED FINANCIAL PLANNER™ designation.

CISI opens an office in the Phillipines and the 'Speak Up' campaign is launched to support a speak up culture in financial services.

The CISI holds its first Financial Planning Annual Conference following the IFP merger and our branch network expands to 24. 

CISI qualifications are recognised in 40 countries and mandates CPD and integrity requirements for all members.

The CISI celebrates its 25th anniversary with a celebration at the Guildhall.

The Institute opens an office in Kenya

Michael Cole-Fontayn becomes Chair

CISI opens an office in Qingdao China

CISI launches remote invigilation for candidates to sit their exams online anywhere in the world