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Financial services, regulation & ethics

R01 (20 CII credits – Diploma level)

The objective of this unit is to develop knowledge and understanding of the financial services industry, including regulation, legislation and the Code of Ethics.

 

Download 2019/20 syllabus (PDF)

Download 2019/20 exam guide (PDF)

Download 2020/21 syllabus (PDF)

Download 2020/21 exam guide (PDF)

Assessment 

  • 2 hour exam
  • 100 multiple choice questions
  • The pass rate for those completing the unit is currently 64%
  • The nominal pass mark is 65%

Recommended study hours: 60 (will vary depending on your experience and ability)

Prepare for success with Enrolment plus

Improve your chances of exam success with Enrolment plus and receive extra R01 revision aids with your enrolment.

Save while you study: Members and non-members save £64 purchasing extra revision aids with Enrolment plus.

Printed and digital options

*** Click here for an important notice for international deliveries ***

By purchasing the ‘Printed and digital’ option, you will incur an additional charge for postage and packaging:

£7 per order: UK, Channel Isles, Isle of Man, Republic of Ireland, Malta and Gibraltar.

£15 per order: All other countries.

For more information on Digital-only options, please visit: 'Digital Only' FAQ's

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Enrolment plus – 2020–21 edition (applicable to exams sat 01 Sep 20 to 31 Aug 21)

Information Study text, exam entry and additional revision aids

  • Non-members £361.00
  • Members £267.00

Enrolment – 2020–21 edition (applicable to exams sat 01 Sep 20 to 31 Aug 21)

Information Study text and exam entry

  • Non-members £255.00
  • Members £180.00

Purchase exam without Enrolment/Enrolment plus

Information Unit R01 exam

You will be provided with an exam voucher to book your exam. You will need to log into MyCII and go to the Booking and results section to redeem this. **Purchasing this option will not provide you with access to the relevant study material or the suite of support tools available via RevisionMate.**

  • Non-members £153.00
  • Members £112.00

Revision aids – 2020–21 edition (applicable to exams sat 01 Sep 20 to 31 Aug 21)

Information Key facts booklet (Digital only)

  • Non-members £30.00
  • Members £26.00

Information Key facts booklet (Printed and digital)

  • Non-members £36.00
  • Members £31.00

Information Knowledge Checker 1

  • Non-members £36.00
  • Members £31.00

Information Knowledge Checker 2

  • Non-members £36.00
  • Members £31.00
  • Non-members £51.00
  • Members £46.00

Information Audio revision

  • Non-members £51.00
  • Members £46.00

Study text renewal

Information Update your study text to the next edition (Digital only)

  • Non-members £56.00
  • Members £34.00

Information Update your study text to the next edition (Printed and digital)

  • Non-members £67.00
  • Members £41.00
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