RM Advance Limited
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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.
Forms part of:
The Diploma in Regulated Financial Planning
2 hours [Exam needs to be booked with and paid directly to CII in addition to this study support]
100 questions. 87 standard format consisting of one correct answer. 13 multiple-response with more than one correct answer.
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.
Paraplanner, Sales Support and Administrations, Financial Planners & Wealth Managers, Life Office, Pension and Investment provider employees.
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