SIDC Module 12 study plan

Map the full Law & Regulation syllabus into a one-page outline covering statute-level rules, regulator guidance, and firm-level policy layers

Define the key legal vocabulary (authorisation, conduct, disclosure, client money, market abuse) in your own words and flag any term you cannot yet explain precisely

Build a personal glossary of 30 terms with a one-line definition and a note on where each appears in the exam weighting

Identify the three areas of Law & Regulation you understand least and rank them by study priority

Explain the authorisation and approval pathways that apply to investment firms and how they differ by activity

Trace the client lifecycle from onboarding through suitability, disclosure, and record-keeping, noting the legal obligation at each stage

Distinguish the main categories of regulatory breach and the range of sanctions that can follow

Draft a worked example showing how a single client transaction triggers multiple overlapping obligations

Compare the leadership behaviours the syllabus expects against your own recent workplace examples

Analyse how tone from the top translates into measurable conduct outcomes at team level

Practise articulating a difficult decision to a hypothetical team, stating the values and reasoning behind it

Identify the behavioural triggers that most often precede conduct failures and describe the leader's preventive role

Rehearse applying leadership behaviour concepts to law and regulation scenarios where the two domains intersect

Evaluate how a manager should respond when a commercial target conflicts with a regulatory obligation

Complete a timed set of mixed practice questions across Domains 1 and 2 and review every wrong answer to root cause

Summarise the five most common reasoning errors you made and the correction for each

Map the corporate governance structure of an ICM firm, distinguishing board, committee, and executive responsibilities

Explain the purpose and mechanics of the control functions and how independence is preserved in practice

Describe the governance expectations around risk appetite, escalation, and reporting lines

Contrast good and weak governance using two contrasting anonymised or hypothetical firm profiles

Link each governance control to the specific product or service risk it is designed to mitigate

Classify the core ICM product and service categories and the key features a client should understand about each

Explain how suitability, disclosure, and pricing transparency apply differently across product types

Identify the product features most likely to be tested and build a comparison table for them

Revisit Law & Regulation weak spots identified in Week 4 and close at least three of them with written explanations

Apply product knowledge to client scenarios where disclosure and suitability obligations are in tension

Practise explaining a complex product in plain language to a non-expert in under 150 words

Complete a timed mixed set across Domains 1, 3, and 4 and analyse every error

Consolidate all four domains into a single condensed revision sheet of no more than four pages

Complete two full timed mock exams under exam conditions and record scores by domain

Target the two weakest domains with focused re-study and re-test to confirm improvement

Rehearse a final-week routine covering sleep, timing, and question triage strategy