R01 Regulation & Ethics

 The Regulation & Ethics syllabus is very similar in content to CF1 in terms.  There are additional aspects to it such as a chapter or two on ethics.  The syllabus covers the following key areas:

• UK financial services in a global context, which broadly looks at the UK economy and financial instruments
• The way in which the industry serves the consumer in terms of products and services offered
• The legal aspects of financial services such as wills, intestaacy, trusts and powers of attorney
• The regulation of financial services
• The FSA, its powers and responsibilities and its regulatory handbook
• The regulatory sales process (should we now be calling it advice process?)
• Advisory skills
• Ethics

For an existing adviser the material should not be a surprise, but for advisers who are FPC qualified, they may find that the material goes into greater depth than FP1 did.  The examination is comprised of 87 multi choice questions and 13 multi response questions.  The examination is not a walk in the park!  Students should brace themselves for a very tough examination. 

The range of questions include some (in my opinion) very obscure and/or detailed parts of the syllabus and students should consider their approach carefully.  As in other examinations time should be spent on studying and I would suggest around 60 hours. 

Our question bank contains examination standard questions and includes a gap test to benchmark knowledge at outset in addition to randomised tests for each of the chapters in the CII manual.  There are several mock examinations to finish off your learning as well.  When a student enrols for the subject they will also recieve a complementary set of key facts sheets which will act as an aide memoire.  Please allow 24 hours after you have enrolled for full activation.

R01~ Regulation & Ethics

£30.00

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