This programme contains circa 11 hours worth of video support for the whole of the R01 syllabus. There are detailed videos across the topics outlined below, with full examples in order to help you navigate exam questions. There are also 3 mock exams for you to complete in order to test your knowledge and skill.
UK financial services industry in its European and global context.
How the retail consumer is served by the financial services industry.
Legal concepts and considerations relevant to financial advice.
Understand the regulation of financial services.
Understand the financial regulators’ responsibilities and approach to regulation. Apply the principles and rules as set out in the regulatory framework.
Apply the regulatory advice framework to ensure fair outcomes for the consumer.
Skills required when advising clients.
Financial regulators’ use of principles and outcomes based regulation to promote ethical and fair outcomes.
Apply the Code of Ethics and professional standards & critically evaluate the outcomes that distinguish between ethical and compliance driven behaviours.
To view for free the ‘How the retail consumer is served by the financial services industry’ element of the programme, please see below.