Covers the regulatory framework of the financial services industry, including participants' legal and ethical constraints, principles and policy.

Useful Links Which Diploma Subject Syllabuses Fees & Forms Course Providers Diploma Exam Dates Exam venues Exam Policies International Procedures

Appropriate for candidates specialising in Compliance as well as those requiring knowledge of the subject beyond the minimum regulatory requirements.
Assessment 3 hours 15 minutes

Syllabus

Regulation & Compliance

Exam Papers

2009 Summer
2008 Winter
2008 Summer

Exam Reports

2009 Summer
2008 Winter
2008 Summer



Please click here to return to the Diploma homepage

Who should take the Diploma?
Regulatory Recognition
What you need to know about the Diploma
Studying for the Diploma
Fees and Forms
Exam Policies
What next for Diploma holders?