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AIAC AI ASSURANCE COUNCIL™

CAIA-FI-EU-F · Foundation grade · Assurance

Certified AI Assurance Financial Institutions Foundation — EU/DORA

The EU financial-AI regime: the EU AI Act’s high-risk scope for creditworthiness, operational resilience under DORA, automated decisions under GDPR Article 22, and EBA supervisory expectations.

Reference
CAIA-FI-EU-F
Level
Foundation
Examination
2 hours
Delivery
Remote, proctored
Credential
Valid 2 years

§ 1 — Intended candidates

Who this certification is for

The competency standard for AI assurance in EU-regulated financial institutions — where the AI Act’s high-risk credit provisions, DORA’s operational-resilience regime, and data-protection law apply at once.

Who it is for. Risk, compliance, and audit professionals in EU banks, insurers, and financial firms, and their assurance providers.

Prerequisites
No formal prerequisites. Candidates are expected to have professional experience in a risk, compliance, or audit function within financial services.
Status
Open for registrationOpen for registration · Examinations from October 2026

This is the Foundation grade of the AI Assurance — Financial Institutions family — Practitioner and Fellow follow it. Also at Foundation in this family: Certified AI Assurance Financial Institutions Foundation — MAS.

§ 2 — Examination domains

What the examination covers

The examination is mapped to the EU AI Act’s high-risk provisions for credit, DORA, GDPR Article 22, and EBA guidance. Weightings are indicative until each syllabus issues.

  1. 01

    EU AI Act in financial services25%

    High-risk obligations for credit scoring and financial use cases, for providers and deployers.

  2. 02

    Operational resilience under DORA25%

    ICT risk management and operational resilience applied to AI systems inside a financial entity’s DORA perimeter.

  3. 03

    GDPR Article 22 in a financial context15%

    Automated decisions in lending and underwriting, and what the affected person can demand.

  4. 04

    Supervisory expectations15%

    EBA and ECB guidance and supervisory expectations relevant to AI in the institutions they supervise.

  5. 05

    Model risk and concentration20%

    Model risk management, and third-party and ICT concentration risk in AI dependencies.

Curriculum mapping indicates alignment of learning content with published frameworks. It does not constitute endorsement by, or certification under, any standards organisation or regulator.

§ 3 — Preparation

What preparation is anchored to

Anchored to the EU AI Act, DORA, the GDPR, and applicable EBA material. Candidates prepare independently against the published materials.

The Council certifies individuals — it sells no preparation of any kind, and how a candidate prepared is never visible to an assessor. How impartiality is protected.

§ 4 — How to certify

One route: the examination

Register through the candidate portal, verify your identity once, and sit. On a pass, the credential and its public register entry are issued.

The full rules — registration, identity verification, examination conduct, adjustments, retakes — are in the candidate handbook.

Fees and the pass standard are fixed in the scheme rules and confirmed ahead of the October 2026 examination window.

§ 5 — Assessment

How candidates are assessed

Examination centred on a supplied AI deployment in an EU-regulated financial institution, assessed against the Union instruments the syllabus names.

Every script is marked twice — an AI assessor first and provisional, an independent human assessor second and final. The credential carries a unique identifier any employer can check on the public register.

§ 6 — Questions

Questions about this certification

What are the prerequisites?
No formal prerequisites. Candidates are expected to have professional experience in a risk, compliance, or audit function within financial services.
When can I sit the examination?
Registration is open now through the candidate portal; examination sittings run from the October 2026 window and are scheduled at booking.
How is the examination marked?
Every script is marked twice, in a fixed order: an AI assessor first, producing a provisional mark, and an independent human assessor second, whose determination is final on any divergence. No result is issued on automated marking alone, and no adverse decision — a fail, a suspension, a withdrawal — is ever made without a human assessor.
How long is the credential valid?
2 years from the date of issue, recorded on the public register. The term and what follows it are set out in the revalidation policy.

Scheme-wide questions are answered on the FAQ and in the candidate handbook.

§ 7 — Further reading

Background reading

§ 8 — Register

Register for this examination

Create a candidate account and register now; sittings are scheduled from the October 2026 examination window, and fees are confirmed ahead of it. The marking standard is identical however you prepared.

Register — candidate portal