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CII Personal Finance Qualifications

R01 - Financial Services, Regulation and Ethics

From:

£1,200

Duration:

1 Day

CII-RO1-001

Code:

This course is suitable for individuals wishing to progress their career within the regulated advice sector.

CII-RO1-001

Code:

Audience

This course is suitable for individuals wishing to progress their career within the regulated advice sector. Typical roles they may wish to undertake or progress into include, but are not limited to:
• Financial Services Administrators
• Paraplanners
• Protection Advisers
• Mortgage Advisers
• Financial Advisers

Learning Outcomes

At the end of this unit, candidates will have investigated the:
• Purpose and structure of the UK financial services industry
• How the retail customer is served by the financial services
industry
• Regulatory framework, powers and responsibilities to
protect the consumer
• Legal concepts and considerations relevant to financial
advice
• Code of Ethics and its impact on the business behaviours
of individuals

Course Overview

Candidates will study how the retail customer is served by the financial services industry and how the regulatory framework within the UK works. They will study how the relevant powers and responsibilities to protect the consumer work within the legislative framework and how the legal concepts and considerations relevant to financial advice are applied. They will demonstrate their knowledge within the examination on how the Code of Ethics is upheld within the UK.

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