CISI Regulation and Professional Integrity
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.
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 |
Course Price: £99.00 + VAT
Access Duration: 6 months
How to Purchase
Order online via our secure platform. Pay via Credit/Debit card and receive instant access to your course!
Programme Details
CISI Accredited Training Provider
CPD awarded
Exam guidance
Structured, weekly learning
Mock exam with instant feedback
Downloadable workbooks
6 months access
Revisit content at any time
Re-sit exam multiple times
‘Ask the instructor’ messaging system
Tracks learning progress throughout
24-hour access to our learning platform
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
Access online on any device
Exam Guides
Model Answer Assignments
Structured Learning
Timed Testing
6000+ Exam Questions across programme range
CPD Accredited
