CII R01 Financial Services, Regulations & Ethics

Remote, structured learning getting you exam ready

RM Advance Limited


£118.80 inc VAT
Or £39.60/mo. for 3 months... Read more
Study method
Online, self-paced
30 hours
Access to content
6 months
No formal qualification
30 CPD hours / points
Additional info
  • Certificate of completion available and is included in the price

3 students purchased this course

Add to basket or enquire


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.


30 CPD hours / points
Accredited by The CPD Standards Office


Forms part of:

The Diploma in Regulated Financial Planning

Credits awarded:


Exam length:

2 hours [Exam needs to be booked with and paid directly to CII in addition to this study support]

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

Who is this course for?

Individuals wishing to commence and complete CII's Diploma in Regulated Financial Planning.

Career path

Paraplanner, Sales Support and Administrations, Financial Planners & Wealth Managers, Life Office, Pension and Investment provider employees.

Questions and answers

No questions or answers found containing ''.

Shekinah asked:

Is the exam included in the course?


Hi, This is structured exam support only so the exam needs to be purchased directly through the CII.

This was helpful. Thank you for your feedback.


Currently there are no reviews for this course. Be the first to leave a review.


What does study method mean?

Study method describes the format in which the course will be delivered. At courses are delivered in a number of ways, including online courses, where the course content can be accessed online remotely, and classroom courses, where courses are delivered in person at a classroom venue.

What are CPD hours/points?

CPD stands for Continuing Professional Development. If you work in certain professions or for certain companies, your employer may require you to complete a number of CPD hours or points, per year. You can find a range of CPD courses on, many of which can be completed online.

What is a ‘regulated qualification’?

A regulated qualification is delivered by a learning institution which is regulated by a government body. In England, the government body which regulates courses is Ofqual. Ofqual regulated qualifications sit on the Regulated Qualifications Framework (RQF), which can help students understand how different qualifications in different fields compare to each other. The framework also helps students to understand what qualifications they need to progress towards a higher learning goal, such as a university degree or equivalent higher education award.

What is an ‘endorsed’ course?

An endorsed course is a skills based course which has been checked over and approved by an independent awarding body. Endorsed courses are not regulated so do not result in a qualification - however, the student can usually purchase a certificate showing the awarding body’s logo if they wish. Certain awarding bodies - such as ABC Awards and TQUK - have developed endorsement schemes as a way to help students select the best skills based courses for them.


Mobile Navigation