CII R01 - Financial Services, Regulation and Ethics


New dates to be announced - subject to demand.


3 days




CPD/Short courses


Coventry University (Coventry)


College of Business and Law

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New dates to be confirmed - subject to demand.


This module is one of a series of modules offered by the Chartered Institute of Insurance (CII) and forms part of the Level 4 CII Diploma in Regulated Financial Planning -

Learn about the financial services industry including overviews of financial products, financial regulation and how to advise people about financial matters incorporating industry ethics and professional standards.

Course detail

People who pass this qualification may be able to offer advice under supervision while they work towards the Diploma. The Diploma is offered by a number of educational institutions in the UK.

At the end of this module, delegates will have explored the:

  • Purpose and structure of the UK financial services industry
  • How the retail customer is served by the financial services industry
  • Regulatory framework, powers and responsibilities to protect the consumer
  • Legal concepts and considerations relevant to financial advice
  • Code of Ethics and its impact on the business behaviours of individuals

How will this course be taught

This is a taught module over 3 days at Coventry University Business School

Entry requirements

There are no specific entry requirements for this module


There is an R01 exam on completion of this module

*Subject to demand