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CISI IAD UK Regulation and Professional Integrity

Price
300 GBP excl. VAT
Next course start
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Course delivery
Virtual Classroom
Price
300 GBP excl. VAT
Next course start
Enquire for more information See details
Course delivery
Virtual Classroom
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Course description

CISI IAD UK Regulation and Professional Integrity

The qualification is made up of two core units and a third technical unit, which can be specially selected to meet your individual requirements.

The Diploma is an award of the professional body CISI. BPP Professional Education provides a series of excellent study programmes to prepare you for the CISI assessments.

UK Regulation and Professional Integrity - Compulsory Unit

This exam tests candidates’ ability to apply appropriate knowledge and understanding of UK financial markets, regulation and ethics to financial planning, advice and management for retail customers.

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Upcoming start dates

1 start date available

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  • Virtual Classroom
  • Online

Training Course Content

It will test the following elements:

  • The UK financial services industry and its relationship with UK consumers
  • Professional ethics and integrity
  • UK regulatory infrastructure, including European Union Directives
  • The FCA’s supervisory objectives, principles and processes
  • Authorisation of firms and individuals
  • The regulatory framework relating to financial crime
  • Complaints and compensation
  • The regulatory framework relating to the provision of financial services, fair treatment of customers and protection of client assets

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