CII R01 study guide
CII R01 · Work through your exam, one topic at a time.
R01 Financial Services, Regulation and Ethics is one of the regulatory qualifications offered by the Chartered Insurance Institute (CII). This page is an independent study guide for candidates preparing for it; it is not affiliated with, endorsed by, or operated by the CII. The CII's own qualification page could not be retrieved at the time of writing, so this platform does not state exam length, question count, pass mark, fees, retake rules or validity periods - those details must be confirmed directly with the CII before you book. What this guide does provide is topic coverage organised around the four areas the qualification is built on: financial services regulation and ethics, financial services regulation, ethics and professional standards, and financial services products and markets. The CII R01 study guide has 4 sections and about 1,620 words.
01Financial Services Regulation and Ethics: Principles, Outcomes and the Consumer Duty
Domain 1 tests how regulation and ethics work together in UK financial services. You need to know the statutory framework, the FCA's outcomes-based approach, and why complying with a rulebook is not the same as acting ethically.
409 words, about 2 min02Financial Services Regulation: Regulators, Authorisation, Supervision and Redress
Domain 2 tests the UK regulatory architecture: who regulates what, how firms and individuals are authorised, how supervision and enforcement work, and how complaints and compensation are handled. Learn the distinctions between regulators and redress bodies.
424 words, about 2 min03Ethics and Professional Standards: Frameworks, Conflicts and Conduct
Domain 3 tests ethical decision-making and professional standards. You need to apply ethical frameworks to real conduct, recognise conflicts of interest, protect confidentiality, and understand how codes and conduct rules reinforce good behaviour.
381 words, about 2 min04Financial Services Products and Markets: Features, Tax Wrappers and Suitability
Domain 4 tests the main retail products and markets: savings, investments, pensions, protection and mortgages. You must know product features, tax wrappers, risk and liquidity, and how markets operate so you can match products to client needs.
406 words, about 2 min