R01 Financial Services Regulation & Ethics

The session takes place at K2 Leisure Centre, Crawley and opens for registration at 9.00am for a 9.30am start and ends at 4.45pm, providing six hours' CPD.

The cost of this course is £65 for CII/PFS members (£85 for non-members) and includes all tuition, tea/coffee on arrival and during formal breaks and a buffet lunch. If you would like to join us for this event,

please visit our friends at Sussex Insurance Institute to book your place

Sussex CII

Overall objective.
To significantly improve delegates’ chances of passing the exam by developing an understanding of the key technical points that are likely to be tested.

This will be a one day event.

By the end of the event delegates will able to understand:

• the structure and functions of the UK financial services industry

• the concepts of powers of attorney, law of contract, property ownership, insolvency and bankruptcy, wills intestacy and trusts

• the principles of UK financial regulation

• the main powers of the FCA

• the principles of individuals and firms becoming authorised

• the way in which the Conduct of Business handbooks regulate the interaction between adviser and client

• the process of making regulated complaints together with the role of the Financial Services Ombudsman and Financial Services Compensation Scheme

• the requirements to prevent money laundering and data protection

Other Information
There is ample free on-site parking at the venue.

Please note that this event will take place on the 1st floor at K2. A lift will normally be available for delegates to access the training, but stairs will need to be used in the event of an emergency evacuation of the building.

Full joining instructions will be sent to delegates ahead of the event.

About our speaker
John has 40 years’ experience in insurance and financial services. Not surprisingly most of his former employers no longer exist because of mergers and takeovers. For example he joined Leeds Permanent Building Society in 1986 and at retirement was working for Lloyds Banking group even though he’d never changed employers! The last 15 years were spent in the training department specialising in professional exams.

Not wishing to spend retirement watching daytime TV he decided to become a freelance trainer specialising in helping people to pass the CII’s Financial Services exams.

John is a Chartered Insurance Practitioner and a Fellow of both the Chartered Insurance Institute and the Personal Finance Society.