CISI Investment Compliance Diploma 2026: Units, Written Exam

What is the Regulation and Compliance exam like?

It’s a written paper of three sections, under the syllabus CISI has examined since November 2024:

Section A, 30% of the marks: up to ten compulsory short-answer questions
Section B, 40%: two practical problem questions from a choice of four, one of them compulsory, marked partly on an ethical and professional response based on the CISI Code of Conduct
Section C, 30%: two essays from a choice of four

It’s a narrative exam, so it runs in set sessions; the overview says when written results arrive. You also need to keep up with regulatory news, since the syllabus expects awareness of current topics.

CISI’s factsheet says the pass mark varies from paper to paper but is never below 50%.

Booking written exam sessions →When CISI exam results arrive →

Who is the CISI investment compliance diploma for?

CISI aims it at people pursuing a career in compliance, especially those at supervisory level who want a senior management role, in wholesale or retail firms. It sets no entry requirements, but it calls Regulation and Compliance a challenging, higher-level exam and suggests you check you’re ready before you register. Your employer may have its own rules about the order you take CISI exams.

International candidates can swap a local regulatory paper for UK Regulation and Professional Integrity. Where there’s no local paper, they take Global Financial Compliance plus either Combating Financial Crime or Risk in Financial Services, then Regulation and Compliance.

Risk in Financial Services →UK Regulation and Professional Integrity →

Regulation and Compliance fees

Item	Fee
Exam fee	£363
CISI workbook	£210
Exam, workbook and Revision Express together	£608

The other units are priced on their own pages, and CISI’s total for the diploma is on the cost page. Passing the investment compliance diploma lets you join CISI as a Member and use the letters MCSI.

Total CISI qualification costs →

Sources: CISI · Ofqual and 4 more. Checked October 2026.