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CISI UK Financial Regulation Exam Prep (Level 3)
- 16 CPD Units
- 16 Hours
- Live Online
- 09 November 2026
- 14:00 -18:00 UK Time
- Online
Original price was: £1,100.00.£850.00Current price is: £850.00.
The Chartered Institute for Securities & Investment (CISI) is the leading professional body for securities, investment, wealth and financial planning professionals.
The UK Financial Regulation module is one of the Regulatory modules that can be taken for those looking to attain the Investment Operations Certificate (IOC).
The module ensures candidates have an understanding of the regulations and legislation that underpin financial markets in the conduct of investment business in the UK.
Training Objectives
To ensure a basic knowledge of the regulations and legislation underpinning the financial markets and the conduct of investment business, and in particular knowledge and understanding of the following elements:
- The Regulatory Environment
- The Financial Services and Markets Act 2000 and Financial Services Act 2012
- Associated Legislation and Regulation
- The FCA Conduct of Business Sourcebook / Client Assets
- Complaints and Redress
Syllabus
Element 1 The Regulatory Environment
- The Role of the FCA and PRA
- The Regulatory Infrastructure
Element 2 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
Element 3 Associated Legislation and Regulation
- Market Abuse
- Insider Dealing
- Market Manipulation
- Money Laundering and Financial Crime
- Bribery and Corruption
- Record Keeping Requirements
- Disclosure and Transparency rules
- Transaction and Trade Reporting
- Data Protection Act 2018
- Relevant European Regulation
- Prudential Standards
Element 4 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
Element 5 Complaints and Redress
- Customer Complaints
Who is Christiana Vasiadou?
Christiana Vasiadou has more than 25 years of experience in the financial services sector. During this time, her focus has been on private banking, wealth management, compliance, and corporate governance for a wide range of financial institutions and financial service providers in Cyprus and the United Kingdom.
Her skills and expertise include regulatory compliance, AML, operational and corporate governance of UK and EU regulated financial institutions, handling MiFID II, EU and UK regulations and communication with pertinent regulatory authorities, FCA licence application processes, drafting and implementing compliance policies and procedures including product governance frameworks and GDPR, and investment advisory and discretionary asset management.
Christiana has a degree in Civil Engineering from Princeton University in the United States, and has received advanced certifications from the Chartered Institute for Securities and Investment (CISI) in Global Financial Compliance and Investment Advice, from the University of Nicosia in Digital Currencies, and from the Cyprus Securities and Exchange Commission (CySEC). She also serves as a Board Member of CISI’s Cyprus chapter.
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