Your Path to a Career in Financial Services - Digital

The exam syllabus covers the financial services industry in the UK, how the retail customer is served, the ‘regulatory’ framework and the powers and responsibilities of the regulator, legal concepts, and the regulator’s Code of Ethics. This is split over 11 learning outcomes: R01: Learning Outcomes

E x p e c t e d N u m b e r o f Q u e s t i o n s i n E x a m

L e a r n i n g O u t c o m e s

U n d e r s t a n d t h e U K f i n a n c i a l s e r v i c e s i n d u s t r y i n i t s E u r o p e a n a n d g l o b a l c o n t e x t U n d e r s t a n d h o w t h e r e t a i l c o n s u m e r i s s e r v e d b y t h e f i n a n c i a l s e r v i c e s i n d u s t r y

6 s t a n d a r d

1 2 s t a n d a r d

U n d e r s t a n d l e g a l c o n c e p t s a n d c o n s i d e r a t i o n s r e l e v a n t t o f i n a n c i a l a d v i c e

9 s t a n d a r d

U n d e r s t a n d t h e r e g u l a t i o n o f f i n a n c i a l s e r v i c e s

6 s t a n d a r d

U n d e r s t a n d t h e f i n a n c i a l r e g u l a t o r s ’ r e s p o n s i b i l i t i e s a n d a p p r o a c h t o r e g u l a t i o n

2 9 s t a n d a r d

A p p l y t h e p r i n c i p l e s a n d r u l e s a s s e t o u t i n t h e r e g u l a t o r y f r a m e w o r k

4 s t a n d a r d / 5 m u l t i p l e r e s p o n s e

A p p l y t h e r e g u l a t o r y a d v i c e f r a m e w o r k i n p r a c t i c e f o r t h e c o n s u m e r

5 s t a n d a r d / 8 m u l t i p l e r e s p o n s e

U n d e r s t a n d t h e r a n g e o f s k i l l s r e q u i r e d w h e n a d v i s i n g c l i e n t s

4 s t a n d a r d

U n d e r s t a n d t h e f i n a n c i a l r e g u l a t o r s ’ u s e o f p r i n c i p l e s a n d o u t c o m e s b a s e d r e g u l a t i o n t o p r o m o t e e t h i c a l a n d f a i r o u t c o m e s

7 s t a n d a r d

A p p l y t h e C o d e o f E t h i c s a n d p r o f e s s i o n a l s t a n d a r d s t o b u s i n e s s b e h a v i o u r s o f i n d i v i d u a l s . C r i t i c a l l y e v a l u a t e t h e o u t c o m e s t h a t d i s t i n g u i s h b e t w e e n e t h i c a l a n d c o m p l i a n c e d r i v e n b e h a v i o u r s

2 s t a n d a r d

3 s t a n d a r d

To find out more about the CII’s R01 Course, including the latest course availablity, curent tuition pricing or to register your interest, please click here. Alternatively contact Lowes Financial Academy on 0191 287 8717 or email at Academy@Lowes.co.uk.

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