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AIAC AI ASSURANCE COUNCIL™

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

Certified AI Assurance Financial Institutions Fundamentals — 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.

2 hours examination · remote, proctored · valid 2 years

US$695

First membership year included

Enrol now

§ 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.

Risk & compliance in EU institutions
Internal audit
Assurance providers
Prerequisites
No formal prerequisites. Candidates are expected to have professional experience in a risk, compliance, or audit function within financial services.

This is the Fundamentals grade of the AI Assurance — Financial Institutions family — Professional and Fellow follow it. Also at Fundamentals in this family: Certified AI Assurance Financial Institutions Fundamentals — 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 is published.

  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

EU AI Act
DORA
GDPR
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 — 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.

§ 5 — Questions

Questions about this certification

What does the examination cost?

US$695, with the first year of membership included. Nothing is payable until you register for a sitting.

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.

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

§ 6 — Further reading

Background reading

§ 7 — Register

Register for this examination

Create a candidate account and register now; sittings are scheduled from the October 2026 examination window and the examination fee is US$695, with the first year of membership included. Members pay a reduced rate on every examination.

Register — candidate portal

The Council is pursuing ISO/IEC 17024 accreditation; no accreditation is claimed until it is held. Accreditation status.