Regulation and Ethics
Refreshed September 2023 | CPD time: 1 Hour 15 Minutes
This module explores the UK financial services sector, the regulation of financial services, the regulatory advice framework, key financial advice legal issues, and ethics and integrity.
1. The UK Financial Services Sector
2. The Regulation of Financial Services
3. The Regulatory Advice Framework
4. Key Financial Advice Legal Issues
5. Trusts
6. Ethics and Integrity
Module Test