Description

R01 exam – Financial Services, Regulation and Ethics. Size: 14 modules, over 6 hours of material
Download time: approx 2 minutes over high speed broadband

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Introduction (2 minutes)

Module 1 (10 minutes)
R01 exam: the exam and preparing for it CII Regulated Diploma exam structure | The R01 exam – Financial Services, Regulation and Ethics | multiple-choice questions | exam preparation | 7 golden rules for the exam

Module 2 (25 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 (29 minutes)
Financial services products and the needs of clients – part 1 Budgeting | managing debt | borrowing | protection

Module 4 (32 minutes)
Financial services products and the needs of clients – part 2 Savings and investment | retirement planning

Module 5 (27 minutes)
Financial services products and the needs of clients – part 3 Estate planning | tax planning | social security benefits

Module 6 (31 minutes)
Legal concepts relevant to financial advice The legal identities of businesses | capacity and contract | power of attorney | the ownership of property | insolvency and bankruptcy | wills and intestacy | trusts

Module 7 (25 minutes)
The regulation of financial services The UK regulatory authorities: the FCA, PRA and FPC | EU legislation | EU Supervisory bodies | other UK regulators, e.g. The Pensions Regulator

Module 8 (22 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 | Financial Stability Board

Module 9 (37 minutes)
The FCA handbook The FCA Handbook, e.g. the Principles for Businesses, COBS, financial resources | The Consumer Credit Acts | The Consumer Rights Act 2015

Module 10 (30 minutes)
The FCA, principles and rules Authorised and exempt firms | approved persons | records | T&C | anti-money laundering | data protection | redress/complaints | FOS | FSCS

Module 11 (27 minutes)
The regulatory advice framework Money guidance, e.g. MAPs | the fair treatment of consumers | financial promotions | stakeholder products and basic advice | financial promotions | COBS rules that impact on the client, e.g. disclosure documents and cancellation rights | reviewing client needs

Module 12 (16 minutes)
Client advising skills Information v advice | A seven stage advice structure | know your customer, e.g. hard and soft facts | suitability reports

Module 13 (27 minutes)
Outcomes-based regulation and ethics Outcomes-based regulation | SM&CR, e.g. senior management functions and certified functions | code of conduct (COCON) | ethical behaviours | business culture | Bribery Act | ethics and ethical culture

Module 14 (29 minutes)

Crammer module This consists of the summaries of all the previous modules.