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UK Europe, EMEA WAT Time Zones
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Level: Introductory / Refresher
Tuition: £2,995.00
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NEW CISI UK Financial Regulations CPR021

Location: UK Europe, EMEA WAT Time Zones

Duration: 4 days including 1/2 day Revision & Mock Exam

Programme Director: Dennis Cox CISI Exam Prep Tutor

All Dates & Locations
Venue Details

Experience the highly-interactive expert-led social learning through Virtual Classroom via Cisco WebEx from Risk Reward.

All our 2024 Live onsite and live Virtual Classroom events feature shared (or discrete) live chat between delegates and the expert, participate in topical surveys, polling questions, group exercises and case studies for a tried -and- true engaging and gratifying learning experience.

Need to certify your entire department, bring this course in house for a small team, 1:1 or face to face, or on-site? Simply contact us for significant cost savings and dates to meet your specific business requirements.

"{The trainer] was very knowledgeable and able to give opinions across a wide variety of subjects. Very well informed. "
Risk Director, Japanese Bank, New York
Agenda Highlights

Session 1: the Regulatory Environment

Session 2: The Financial Services and Markets Act 2000 and Financial Services Act 2012

Session 3: Associated Legislation and Regulation

Session 4: The FCA Conduct of Business Sourcebook/Client Assets

Session 5: Complaints and Redress

"Very engaging and a friendly environment. Thank you Paul."
IT Director, Nordea, Copenhagen

Training to this fundamental understanding of financial regulation and the CISI qualification underpins the key regulations in the UK’s Financial Sector from the broad perspective of the regulatory environment to the Conduct of Business Sourcebook (COBS) rules.

This course is relevant for both the Capital Markets Programme and the Investment Operations Certificate.

Who Should Attend

Training to this central qualification is essential for anyone taking the CISI Capital Markets Programme or the Investment Operations Certificate (IOC) and also appropriate to anyone who requires a general understanding of UK Financial Regulations.

Additional Course Information

What Does It Cover?

The Regulatory Environment

  • The role of the FCA and PRA
  • The Regulatory Infrastructure

 The Financial Services and Markets Act 2000 and Financial Services Act 2012

  • Regulated and Prohibited Activities
  • Performance of Regulated Activities
  • Information Gathering and Investigations
  • Regulated Activities 2.5 Miscellaneous offences under FSA 2012

Associated Legislation and Regulation

  • Insider dealing
  • Market abuse
  • Money laundering
  • Model Code
  • Disclosure and Transparency rules
  • Data Protection Act 1998
  • Relevant European Regulation
  • Prudential Standards

 The FCA Conduct of Business Sourcebook / Client Assets

  • The application and general provisions of the FCA Conduct of Business Sourcebook
  • Accepting clients
  • Communicating with clients, including financial promotions
  • Suitability
  • Product disclosure and the client’s right to cancel
  • Dealing and managing
  • Reporting to clients
  • Client Assets

Complaints and Redress

  • Customer complaints
Learning Objectives

The purpose of this four- day course, including half- day mock exam and review, is to equip delegates with the essential and necessary knowledge – and where needed – exam techniques to prepare them  to sit and pass the exam for this CISI qualification.

Delegates will gain specialist technical and behavioural knowledge in an ‘on-the-job-training’ style by a professional CISI subject matter  expert and trainer, which can be applied to the workplace immediately.


Social Learning & Methods

Highly interactive expert-led intensive presentation, Q&A, group real-time in-depth case studies, regulation and discussion supported by key principles and theory. The virtual learning platform uses safe, industry preferred encrypted Cisco WebEx to optimize live face-to-face visual interaction, discrete chat, for polling and quizzes.

(An invitation via email with access link is included for all participants.)


NEW CISI UK Financial Regulations

Course Fee

Apply 10% discount code RISK10 by December 15, 2023 at check-out

Course Fee (per person):
GBP £2,995.00 (+ UK VAT when applicable)

Number of delegates:

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Terms and Conditions: You can cancel at any time. Due to the on-going COVID 19 environment cancellations may be made at any time for either a full refund or a credit towards another event occurring within the following 6 month period. Simply email or telephone the London Client Services team at to advise your preference and we will do our best to accommodate your circumstances. Risk Reward Ltd receives the right to a final decision in the event of a dispute.

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SKU: CPR021 Categories: , ,

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