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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

CISI Regulation and Professional Integrity Course

Course Price: £99.00 + VAT

Access Duration: 6 months

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Programme Details

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Structured, weekly learning

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6 months access

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Re-sit exam multiple times

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