R01 - Financial Services, Regulation and Ethics - 2 Day - Financial Training Training Courses

R01 - Financial Services, Regulation and Ethics - 2 Day

Duration: 2 day

This is a 1 or 2 day intensive exam preparation workshop, covering revision of the syllabus areas listed below along with exam technique and practice questions.

Understand legal concepts and considerations relevant to financial advice
Apply the principles and rules as set out in the regulatory framework
Apply the regulatory advice framework in practice for the consumer
Understand the range of skills required when advising clients
Understand the FSA?s use of principles and outcomes based regulation to promote ethical and fair outcomes
Apply the Code of Ethics and professional standards to business behaviors of individuals
Critically evaluate the outcomes that distinguish between ethical and compliance driven behaviors

Course Objectives

The revision workshop is designed to build on the study manual to provide additional support, exam techniques and a greater understanding to help you pass your exam first time. We achieve this through group and individual activities, tax calculations, multi-choice questions, short answer questions and mock exams. All activities on the workshop are debriefed by the trainer to aid learning. Our aim is that everything we the vast majority of the syllabus during workshop will enhance your understanding and place you in a greater position to take your exam.

Course Agenda

Day 1

Covering the vast majority of the syllabus for learning outcomes 1, 2, 3, 4, 8, 9 & 10.

Day 2

A full day covering all aspects of Chapters 5, 6 & 7, including technique for the multiple response questions.

Course Program

A variety of exercises are incorporated into the workshop to ensure the key syllabus areas are covered.

Multi-Choice and Multi Response Questions

Questions asked in different ways to help remember key and important information from the module. Exam based MCQ and MRQ answer types are undertaken to practice how to deal with these questions in preparation for the exam and enhance learning and understanding of the study material.

Mock Exams

A full mock exam will be provided at the end of the course in order for you to assess your post course learning activities needed.

Trainer Support

Throughout every activity on the workshop the trainer will be on hand to provide support, deal with questions and ensure each activity is debriefed, not moving on until all individuals understand the area being discussed.