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.

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.

 

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

Digital study support

£99.00 + VAT

Structured weekly learning

Exam guides

Weekly workbooks / study guides

Interactive e-learning

Technical video content produced by our course tutors

Mini weekly exams to consolidate learning

Weekly ‘wash-up’ videos from our course tutors recorded in the classroom

Mock exams with instant feedback from a large bank of available questions

Freedom to revisit content at any time

Freedom to re-sit exams at any time

Flexible to suit your learning needs

Tracks learning throughout

Weekly accredited CPD awarded

24-hour access to our learning platform

Operates on any device with intuitive software


Blended study support

All the benefits of the Digital study support

Plus

A full day virtual classroom session with our expert training team*

*This one-day session is designed to get you in the best possible shape for your upcoming exam. We bring together all your digital learning whilst taking a deeper dive into how to excel in your exam. This virtual classroom session gives you the opportunity to discuss and explore areas of your study directly with our expert training team

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

Unlimited access 24-7

cpd-accredited

CPD accredited

white-label

Tutor support

exam-guides

Exam guides

structured-learning

Structured learning

exam-questions

6000+ Exam questions

model-answers

Model answer assignments

timed-testing

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