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CISI UK Financial Regulation Exam Prep (Level 3)

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).
  • 16 CPD Units
  • 16 Hours
  • Live Online
  • 18 June 2025
  • 14:00 -18:00 UK Time
  • Online

£780.00

✔️ If you’d like to be invoiced for this course and pay via bank transfer, please send your company details and the name of the course you’re interested in to info@lgca.uk, and an invoice will be issued.

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.

What People Say About LGCA

AGRC’s certificate in compliance helped me advance my career in the field of compliance by teaching me the ins and outs of the sector, the challenges I may face in the future, and the skills I need to overcome them and
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Charles WoodsmithAssistant Compliance Officer
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Juan Antonio VelazquezAssociate Director
This course and certification are exceptional when it comes to introducing you to compliance and its importance in today’s financial world. Self-paced, online and very engaging material. Top notch.
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Corina MartinezAML Officer
AGRC's self-paced, online course on compliance is ideal for professionals who want to pick up new information on the AGRC world and contribute to building a solid corporate culture for their workplace. In this day and age, being ethical is the name of the game and this certificate allows you to grow in that direction.
Marianna Papadopoulou
Marianna PapadopoulouKYC/CDD Specialist
Insightful, practical and complete courses on compliance, AML and KYC/CDD. Five out of five stars. I strongly recommend the AGRC courses to anyone who wants to join the financial services sector or he is already following a relevant career path. Practical and easy to understand,
including video material and study handouts. Online exams are
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Ivan Starr
Ivan StarrFinancial Services Professional
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