CF1 – UK financial services regulation and ethics

What does the unit cover?
This unit develops the individual’s knowledge and understanding of the background to the financial services industry including key legislation and regulatory requirements. It also helps with developing the individual’s understanding of the financial planning process and products involved.

The main syllabus elements are:

Candidates should be able to understand the:

• Purpose and structure of the UK financial services industry
• Different financial asset classes and product types
• Process of giving advice and the main areas covered
• Ethics, regulatory processes, rule and legislation underpinning UK financial services
• Use of the FSA’s regulatory powers and responsibilities to protect the market’s integrity and the impact on individuals and firms of the FSA’s regulatory powers

How is it examined?
2 hour, 100 question multiple-choice exam. Pass mark is around 70%

For information on taking this course, please complete the form below or contact us using the details provided.

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Email: info@fstcollege.com