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
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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