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Access Duration: 6 months
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CISI Securities – £99.00 + VAT Securities is one of three elective papers in the CISI Level 4 Investment Advice Diploma. Successful completion of … View Course… |
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CISI Investment Risk and Taxation – £99.00 + VAT Investment, Risk and Taxation is the second paper in the CISI Level 4 Investment Advice Diploma. Successful completion … View Course… |
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CISI Financial Planning and Advice – £99.00 + VAT Financial Planning and Advice is one of the options that make up the third paper in the CISI … View Course… |
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.
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 |
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 |
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