AF6 - Senior Management and Supervision

The CII's New Advanced Diploma Exam was first examined in October 2012.

The study text was written by Ian Patterson.

Synopsis of the content:

This subject is aimed at senior managers within regulated firms. The intended audience will have both a significant responsibility for the business (or part of it) and who need to be aware of all their regulatory responsibilities (FSA, Approved Persons, and under the UK Corporate Governance Code for listed companies).

First line managers would find J07 – Supervision in a Regulated Environment – more appropriate for day-to-day supervisory techniques and issues.

The study text examines the scope and issues relating to supervision and effective governance. The content includes a broad range of subjects such as:

  • Broad regulatory requirements
  • Management of operational and people risk
  • Business planning and elements of strategy
  • Leadership
  • Ethical aspects and shaping corporate culture

For more details, visit the CII website at:

"I found Ian Patterson's style and content to be so helpful in allowing me to focus on what mattered in the remaining days before my exam.  I put down a good deal of the success I had, in passing AF6, to the effort Ian put into delivering an enjoyable and successful training course."
Eric Norman-Walker, Managing Director, Menzies Wealth Management

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