CISI Regulation and Professional Integrity
Course Price: £99.00 + VAT
Access Duration: 6 months
How to Purchase
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Overview
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.
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Forms part of |
The Investment Advice Diploma |
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Mandatory paper |
Yes |
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Exam length |
2 hours |
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Exam type |
Multiple choice. |
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Exam content |
80 questions all single answer. |
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Pass mark |
70% |
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Learning outcome 1 |
The UK Financial Services industry |
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Learning outcome 2 |
UK Financial Services and consumer relationships |
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Learning outcome 3 |
UK contract and trust Legislation |
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Learning outcome 4 |
Integrity and ethics in professional practice |
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Learning outcome 5 |
The regulatory infrastructure of UK Financial Services |
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Learning outcome 6 |
FCA and PRA supervisory objectives, principles and processes |
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Learning outcome 7 |
FCA and PRA authorization of firms and individuals |
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Learning outcome 8 |
The regulatory framework relating to financial crime |
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Learning outcome 9 |
Complaints and compensation |
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Learning outcome 10 |
FCA Conduct of Business – fair treatment of customers, provision of advice and services, and client asset protection |
Programme Details
- 30 hours CPD awarded
- Exam guidance on your chosen programme
- Pre-study knowledge tests
- Structured, weekly learning
- Downloadable workbooks for offline learning
- Timed tests from a large bank of questions
- End of module exam with instant feedback
- Freedom to revisit content at any time
- Freedom to re-sit exams multiple times
- Flexible to suit your learning needs
- Tracks learning progress throughout
- 24-hour access to our learning platform
- Operates on every device with intuitive U.I
Reasons to use Us
Unlimited access 24-7
CPD accredited
Tutor support
Exam guides
Structured learning
6000+ Exam questions
Model answer assignments
Timed testing
Why our Courses?
- Our courses are CPD accredited
- Structured weekly learning
- You can run our exams multiple times
- We cut to the core material saving you time
