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Financial Services, Regulation and Ethics - R01
Please note that our material has now been updated and is now available as a MP3 download for the 2012/13 Syllabus (examined post 1st Sept). Please click on the "Buy Now" button below to purchase. CDs are no longer available.
On Download 
Price: £40
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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 (11minutes) 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 (20 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 (32 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 (27 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 (17 minutes) The regulation of financial services |
The tripartite authorities . the FSA and it’s objectives . the scope of FSA powers . EU legislation. |
| Module 7 (14 minutes) The financial services authority: its responsibilities and approach to regulation |
FSA scope . powers (Authorisation/Supervision/Enforcement) . risk-based supervision . international regulations |
| Module 8 (28 minutes) The FSA handbook |
The FSA Handbook-the 9 blocks . The Consumer Credit Acts . The Unfair Terms in Contract Terms Act |
| Module 9 (24 minutes) The FSA: principles and rules |
Authorised and exempt firms . approved persons . records . T&C . anti-money laundering . data protection . redress/complaints . FSCS |
| Module 10 (28 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 (25 minutes) Outcomes-based regulation and ethics |
Out-comes based regulation . approved persons code of conduct . ethical behaviours . business culture . resolving ethical issues . AA1000 standards |
| Module 13 (25 minutes) Crammer module |
This consists of the summaries of all the previous modules. |