Content
8 modules
Instructor
Learner Experience
Price
£99.00 GBP
+ VAT
Description
CISI UK Regulation and Professional Integrity is the first paper in the CISI Level 4 Investment Advice Diploma.
UK Regulation and Professional Integrity consists of 6 modules of structured learning with an exam module. Each module is broken down into bite sized learning chunks.
Certificate
By completing/passing this course, you will attain the certificate CPD CISI Regulation and Professional Integrity - 50 hours
Learning credits
Core CPD
50.0
1.
Introduction to CISI Regulation and Professional Integrity
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2.
Module 1: The Financial Services Industry/UK Financial Services and Customer Relations/UK Contract and Trust Legislation
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3.
Module 2: Integrity and Ethics in Financial Practice
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4.
Module 3: Regulatory Infrastructure of UK Financial Services/FCA and PRA Supervisory Objectives, Principles and Processes
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5.
Module 4: FCA and PRA Authorisation of Firms and Individuals
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6.
Module 5: The Regulatory Framework Relating to Financial Crime/Complaints and Redress
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7.
Module 6: FCA COBS-TCF, Provision of Advice and Protection, Client Money Rules
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8.
CISI Mock Exam
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