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
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Programme Details
30 hours CPD awarded
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