Regulation and Professional Integrity is the first paper in the CISI Level 4 Investment Advice Diploma. Successful completion of this diploma requires this paper as a mandatory element, along with two further exam passes.
Please note that whilst we recommend you study each module week to week, the full learning programme is released to you upon purchase. This allows you to learn at your own pace.
Learning Outcome 1
The UK Financial Services Industry
UK Financial Services and consumer relationships
UK contract and trust Legislation
Integrity and ethics in professional practice
The regulatory infrastructure of UK Financial Services
FCA and PRA supervisory objectives, principles and processes
FCA and PRA authorization of firms and individuals
The regulatory framework relating to financial crime
Complaints and compensation
FCA Conduct of Business – fair treatment of customers, provision of advice and services, and client asset protection
Learning Outcome 1
The UK Financial Services Industry
UK Financial Services and consumer relationships
UK contract and trust Legislation
Integrity and ethics in professional practice
The regulatory infrastructure of UK Financial Services
FCA and PRA supervisory objectives, principles and processes
FCA and PRA authorization of firms and individuals
The regulatory framework relating to financial crime
Complaints and compensation
FCA Conduct of Business – fair treatment of customers, provision of advice and services, and client asset protection
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Redmill Advance is a leader in helping UK financial advice firms get their people qualified or chartered.
Investment, Risk and Taxation is the second paper in the CISI Level 4 Investment Advice Diploma. Successful completion of this diploma requires this paper as a mandatory element, along with two further exam passes.
Course DetailsSecurities is one of three elective papers in the CISI Level 4 Investment Advice Diploma. Successful completion of this diploma requires the successful completing of three papers.
Course DetailsFinancial Planning and Advice is one of the options that make up the third paper in the CISI Level 4 Investment Advice Diploma. Successful completion of this diploma requires three papers.
Course DetailsRedmill Advance has been a leading provider of training & development services to the UK financial advice market since 2018 and is based in Linlithgow, Scotland.
