Qualifications & Exams > SII Diploma > Regulation + Compliance

Regulation & Compliance

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

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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



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