R01 – Financial Services, Regulation and Ethics Download

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This material has been updated and is suitable for exams from September 2020.

Our R01 audio study guide. Over 6 hours of simple and effective exam study material for you to use when commuting, running, at the gym and just about anywhere! Instant download.

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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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R01 Financial Services, Regulation and Ethics

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.

To hear the thoughts on how to prepare for the R01 exam from first-time students, click here and here

What people say about us:

“The audio material was extremely useful in helping me pass the R01 exam. The information provided in this material was very clear and allowed me to easier understand certain concepts rather than just using the study text.  The audio modules were also short and concise which made them perfect to fit in around work. Thank you very much for the help.”

Matt Barker, trainee adviser