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KEXT 2015 - UK Regulatory Certificate

Type d'enseignement : Lecture alone

Semester : Autumn 2017-2018

Number of hours : 12

Language of tuition : English


Accounting, Financial Market, Financial macroeconomics, Financial Mathematics or Econometrics.

Course Description

The UK Financial Regulation unit is the first step to achieve any one of the four Capital Markets programme qualifications of the Chartered Institute for Securities and Investment (CISI). This unit considers the regulatory environment in the UK and is divided into 5 elements: - The regulatory Environment (Role of the FCA and FRA, Regulatory Infrastructure). - The Financial Services and Markets Act 2000 and financial Services Act 2012. - Associated Legislation and Regulation (Insider dealing, Market abuse, Money Laundering). - The FCA Conduct of Business Sourcebook / Client Assets. - Complaints and Redress. The training will be completed with Fitch Learning through its online learning portal. Fitch Learning is a CISI Accredited Training Partner.


to be defined

Pedagogical format

The Online learning portal of Fitch Learning houses the study resources students will need to pass the UK Financial Regulation exam : Instructor recordings, question bank, mock exams, email-a-day, diagnostic performance tools, global instructor helpdesk, downloadable slides.

Course validation

Validation with a computer-based exam, 75 questions, 90 minutes. The CISI is the examining body for this certificate ( All candidates must have passed the CISI Integritty Matters online test, an integrity challenge, as a pre-requisite to sitting the UK Financial Regulation exam.


70 hours of study are recommended. Even if it is an optional course, students must be aware of the high workload to be successful to the exam.

Required reading

  • Questions of the Question Bank
  • CISI mandatory book