Who is this course for?
This course is designed for those who work within a financial advisory role. This is particularly ideal for those who have studied or are studying J07 and AF6, as this includes practical elements of training and competency that complement the theory covered in these units.
Learning outcomes
Completing this module will give you a more practical understanding of training and competency elements and how to apply your knowledge in a more 'real world' setting. By the end of this module, you will be able to:
- Identify regulatory and ethical breaches within an adviser case file by applying relevant FCA rules, Conduct Rules, and Consumer Duty outcomes to real-world documentation and client interactions.
- Evaluate the overall suitability, integrity, and compliance of an adviser’s recommendation by comparing recorded client discussions with written evidence, highlighting inconsistencies or misconduct.
- Apply the principles of effective supervision and post-sale auditing to produce an evidence-based compliance report that demonstrates sound regulatory judgement, objectivity, and understanding of firm escalation procedures.
Study
- Up to 6 hours of study time.
- 12-month enrolment on the course.
- Online course delivered on RevisionMate – you will receive an email with details of how to access the course materials following purchase.
Course delivery
Instructions on accessing your course on RevisionMate will be sent to your registered email address. This is typically within two working days of your order being placed.
Assessment
Self-assessment against supplied model answers. All relevant documents are to be uploaded and self-assessment checklist must be completed in order to receive a certificate.
Completion Certificate
On successful completion of the final assessment, you will be able to download a completion certificate.
CPD accreditation
This CII Spotlight Couse – Training and Competency can be included as part of your CII / Personal Finance Society CPD requirement should you consider it relevant to your professional development needs'.
The following link contains further information on the CII CPD scheme: www.cii.co.uk/cpd.
