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

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Access Duration: 6 months

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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

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

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Unlimited access 24-7

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Exam guides

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Structured learning

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6000+ Exam questions

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Model answer assignments

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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