R01 - Financial Services, Regulation and Ethics

R01Financial Services, Regulation and Ethics - R01

Please note that our R01 material is suitable for exams up to 31st August 2014 and is available as an MP3 download by clicking on the Buy Now button below.  Material will be updated over the summer for exams post 1st September.


 On Download R01

Price: £41

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Size: 13 modules, approximately 5 hours of material
Download time: approx 6 minutes over high speed broadband

Please note: After purchase you will receive an email that includes the download link. If this doesn't appear in your inbox within a few minutes please check your spam folder.


The key areas of each module is shown below.

Module 1 (10minutes)
R01: the exam and preparing for it
Regulated Diploma exam structure . The R01 exam . multiple-choice questions . exam preparation . 7 golden rules for the exam
Module 2 (23 minutes)
The UK financial services industry
The four functions of the financial services industry.  how the financial services market operates . the role and structure of UK and International markets . the role and impact of the UK government . UK and EU regulation
Module 3 (25 minutes)
Financial services products and the needs of clients – part 1
Budgeting . managing debt . borrowing . protection . savings and investment
Module 4 (33 minutes)
Financial services products and the needs of clients – part 2
Retirement planning . estate planning . tax planning . social security benefits
Module 5 (30 minutes)
Legal concepts relevant to financial advice
The legal identities of businesses . the law of capacity and contract . power of attorney . the ownership of property . insolvency and bankruptcy . wills and intestacy . trusts
Module 6 (25 minutes)
The regulation of financial services
The UK regulatory authorities: the FCA, PRA and FPC . EU legislation . EU Supervisory bodies . other UK regulators, eg OFT
Module 7 (20 minutes)
The Financial Conduct Authority: its responsibilities and approach to regulation
Authorisation . the Three Pillars . the PRA Proactive Intervention Framework . proactive and reactive supervision . Enforcement
Module 8 (28 minutes)
The FCA handbook
The FCA Handbook-the 9 blocks . The Consumer Credit Acts . The Unfair Terms in Contract Terms Act
Module 9 (24 minutes)
The FCA: principles and rules
Authorised and exempt firms . approved persons . records . T&C . anti-money laundering . data protection . redress/complaints . FSCS
Module 10 (26 minutes)
The regulatory advice framework

Generic advice .TCF . financial promotions . COBS and the impact on the client . reviewing client needs

Module 11 (18 minutes)
Client advising skills
Information v advice .know your customer . suitability reports
Module 12 (23 minutes)
Outcomes-based regulation and ethics
Outcomes based regulation . approved persons code of conduct . ethical behaviours . business culture . resolving ethical issues
Module 13 (25 minutes)
Crammer module
This consists of the summaries of all the previous modules.


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