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 |
Yes |
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
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:
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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
