R01 Fin Services Regs & Ethics

Revision Software for Chartered Insurance Institute Exams –
RO1 Financial Services, Regulation & Ethics.

(Current Exam Syllabus).
346 unique questions.

Over 340 unique questions covering Multiple Choice, True/False and Missing Item format. Correct answers provided for each test.

The aim of this module is to provide students with the knowledge and skills needed to understand the financial services industry, its rules and regulations, and how the retail consumer is better served.

This module covers the following topics:

1 - Authorisation, Procedures and Rules
2 - Dealing with Client Information
3 - Financial Advice, Guidance & Information
4 - Inheritance Tax Planning
5 - Investments
6 - Pension Planning
7 - Regulation
8 - Regulatory Standards
9 - The Regulatory Environment
10 - The Retail Consumer
11 - The UK Legal Framework
12 - UK Financial Services Industry

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