R01 Financial Services, Regulation & Ethics

R01 Financial Services, Regulation and Ethics forms part of the Diploma in Regulated Financial Planning. The objective of this learning programme is to develop your knowledge and understanding of the financial services industry including regulation, legislation and the Code of Ethics.

R01 FINANCIAL SERVICES, REGULATION & ETHICS

Price: £99.00 + VAT
Access Duration: 6 months

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Overview

R01 Financial Services, Regulation and Ethics forms part of the Diploma in Regulated Financial Planning. The objective of this learning programme is to develop your knowledge and understanding of the financial services industry including regulation, legislation and the Code of Ethics.

Forms part of

The Diploma in Regulated Financial Planning

Credits awarded

20

Exam length

2 hours

Exam type

Multiple choice

Exam content

100 questions. 87 standard format consisting of one correct answer. 13 multiple-response with more than one correct answer.

Pass mark

In the region of 65%

Learning outcome 1

Understand the UK financial services industry in its European and global context

Learning outcome 2

Understand how the retail consumer is served by the financial services industry

Learning outcome 3

Understand legal concepts and considerations relevant to financial advice.

Learning outcome 4

Understand the regulation of financial services

Learning outcome 5

Understand the financial regulators’ responsibilities and approach to regulation

Learning outcome 6

Apply the principles and rules as set out in the regulatory framework

Learning outcome 7

Apply the regulatory advice framework in practice for the consumer.

Learning outcome 8

Understand the range of skills required when advising clients

Learning outcome 9

Understand the financial regulators’ use of principles and  outcomes-based regulation to promote ethical and fair outcomes

Learning outcome 10

Apply the Code of Ethics and professional standards to business behaviours of individuals.

Learning outcome 11

Critically evaluate the outcomes that distinguish between ethical and compliance driven behaviours

R01 - Study Programme (6 months platform access) - £99.00 + VAT

  • 93 pages and 51,000+ words of essential learning
  • 30 hours CPD awarded
  • Exam guidance on your chosen programme
  • Pre-study knowledge tests
  • Structured, weekly learning
  • Downloadable workbooks for offline learning
  • Assignments with model answers
  • Timed tests from a bank of 6000+ 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
  • ‘Ask the instructor’ messaging system
  • Tracks learning progress throughout
  • 24-hour access to our learning platform
  • Operates on every device with intuitive U.I
  • App available for download

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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
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