CISI Regulation and Professional Integrity Workshop

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.

In this workshop we will

  • Review key learning points from the syllabus
  • Practice and debrief examination questions
  • Assess what the examiner is looking for
  • Share guidance on making the most out of your study time
  • Build an approach to the examination that allows you to do yourself justice on the day

Our Tutors

Our tutors have decades of experience in delivering regulated exam training and have supported thousands of students through diploma and advanced level exams. They are experts in preparing you for exam day and will maximise your chances of exam success.

Course Overview

Forms part of
The Investment Advice Diploma
Mandatory paper
Exam Length
2 hours
Exam Type
Multiple choice
Exam Content
80 questions all single answer
Pass Mark
In the region of 70%
Learning Outcome 1
The UK Financial Services Industry
Learning Outcome 2

UK Financial Services and consumer relationships

Learning Outcome 3

UK contract and trust Legislation

Learning Outcome 4

Integrity and ethics in professional practice

Learning Outcome 5

The regulatory infrastructure of UK Financial Services

Learning Outcome 6

FCA and PRA supervisory objectives, principles and processes

Learning Outcome 7

FCA and PRA authorization of firms and individuals

Learning Outcome 8

The regulatory framework relating to financial crime

Learning Outcome 9

Complaints and compensation

Learning Outcome 10

FCA Conduct of Business – fair treatment of customers, provision of advice and services, and client asset protection

Recommended additional support

We recommend our digital support package to compliment this webinar. You can find more information on the course here

CISI Regulation and Professional Integrity

Workshop Price: £200 + VAT

Location: Online

Date: TBC

Duration: 1 Day

How to Purchase

Order online via our secure platform. Pay via Credit/Debit card, we accept the following cards:

Reasons to use us

Here’s what our students had to say…

The 1-hour seminar was exceptional! You are incredibly talented in terms of the way you present, so engaging and clear. It was the most useful call out of all the providers I have had. Most of the other calls didn’t provide much more info/thoughts than the analysis already gave. But yours was engaging and helped focus on certain areas.

Cannot thank you enough for your help. I will be spreading the word about how amazing Redmill Advance is!

Poppy Ropner - Handelsbanken Wealth & Asset Management

I want to give a special thanks to Jon Dodson at Redmill Advance for all your support. Without our 1-to-1’s I think R04 would have been the end of the road, but thanks to Jon’s persistence and profound knowledge of the material, I was able to walk in and out of the examination centre confidently and with my head held high. Thanks again for your hard work. I couldn’t have done it without you.

Davio D’Ercole - Associate Partner Practice of St James Place Wealth Management

I passed the R04 exam! Thank you for all your help, not just with the content and questions but you gave me confidence that I could pass it which meant a lot.

Rhys Melville - Financial Advisor, Woodstock Wealth Management

I passed!!!! Somehow I managed to get 80%, I thought it would be a lot lower because it was a challenging exam! I didn’t do any additional studying other than the training you provided so thank you very much!

Tom Cochran - Aspect8

I have found Redmill the most useful out of all the analyses I have, I have been so impressed with it and so grateful. Your notes were so concise and flowed incredibly well – reading almost like I was sitting in front of you and we were discussing it.

Poppy Ropner - Handelsbanken Wealth & Asset Management

I was returning to the industry after a career break and was very nervous about changes to exam requirements. I've loved every minute of learning with Redmill Advance. Great value for money and a very positive experience

Student - Studied  CII Level 4 and 6 range