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Financial services, regulation & ethics

R01 (20 CII credits – Diploma level)

The objective of this unit is to develop knowledge and understanding of the financial services industry, including regulation, legislation and the Code of Ethics.

Download the 2018/19 syllabus (PDF)

Assessment 

  • 2 hour exam
  • 100 multiple choice questions
  • 65% nominal pass mark (the actual pass mark may vary from one session to another to ensure consistency in pass standards)

Recommended study hours: 60 (will vary depending on your experience and ability)

Prepare for success with Enrolment plus

Improve your chances of exam success with Enrolment plus and receive extra R01 revision aids with your enrolment.

Save while you study: Members and non-members save £64 purchasing extra revision aids with Enrolment plus.

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Enrolment plus – 2018–19 edition (applicable to exams sat 01 Sep 18 to 31 Aug 19)

Information Enrolment, study text, exam entry and additional revision aids

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Enrolment – 2018–19 edition (applicable to exams sat 01 Sep 18 to 31 Aug 19)

Information Enrolment, study materials and exam entry

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Information Unit R01 exam

Prices displayed apply to those who wish to book an exam without an Enrolment/Enrolment Plus or wish to purchase an exam re-sit. You can also book here if you have a valid exam voucher for which you will not be charged.

  • Non-members £150.00
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Revision aids – 2018–19 editions (applicable to exams sat 01 Sep 18 to 31 Aug 19)

Information Key facts booklet (printed, ebook + printable PDF)

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  • Members £30.00

Information Question pack 1

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  • Members £30.00

Information Question pack 2

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Information Learn online tutorial

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Information Audio revision

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Study text renewal

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