Institutional Investment Advisor
For experts advising professional investors on appropriate institutional investment solutions.
Admission Requirements
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To get certified in a DSI registry, there are a few important steps. You work at an organization affiliated with DSI, you go through a personal screening by DISA and you subscribe to the DSI code of conduct. In addition, relevant work experience is essential: you have worked full-time for at least 12 months in the past five years in a role that fits the relevant register.
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Acting with integrity is at the core of every DSI registration. As a professional you commit yourself to the DSI Code of Conduct and the ten core principles for the sector. Part of your certification is the successful completion of the DSI Integrity Program (E-learning and/or Workshop), in which you learn to deal with ethical dilemmas in practice.
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The path to certification depends on your background and position. You must demonstrate that you have the appropriate professional knowledge and skills according to the current MiFID II and ESMA guidelines. Want to know exactly which route applies to you? Then use the training guide. By filling in a few questions, you will immediately get an overview of the exams that apply to your situation.
Exams are taken at a DSI-accredited trainer. You are free to choose, but it is wise to check with your employer first about any collective arrangements.
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Once registered, you will keep your expertise up to date through the annual Continuing Professional Education program (PE). This ensures that you always meet the strictest requirements of DSI and the financial sector. Which PE program applies to you is shown in the training guide.
What does the registry entail?
The DSI Institutional Investment Advisor register is for experts who advise professional investors on appropriate investment solutions, such as equities, bonds, investment funds and derivatives. Registration in this register demonstrates that you meet the competence requirements of DSI and the ESMA guidelines, which is also in line with the legal requirements of the AFM within the framework of MiFID II.
For whom is this registry intended?
The registry is for investment advisors, asset managers and other specialists who assist professional investors in creating and managing investment solutions. This may include both customized and standard solutions. You have in-depth knowledge of investment products, risks, costs, market forces and portfolio techniques, and can assess whether a solution is appropriate to the client’s objectives. In addition, you are alert to integrity and transparency risks and know how to recognize and manage these in your daily advisory practice.
How do you sign up?
To be included in this register, your employer or client must be a DSI participant. In addition, you go through a screening procedure at DISA, subscribe to the DSI Code of Conduct and participate in the DSI Integrity Program. You also pass an accredited knowledge and skills exam at a recognized training institute and have at least one year of relevant work experience within the past five years.
