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2023 Syllabus

Chartered Insurance Institute

RO1 - Financial Services, Regulation & Ethics
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The aim of this module is to provide students with the knowledge and skills needed to understand the financial services industry, its rules and regulations, and how the retail consumer is better served.

This module covers the following topics:
Authorisation, Procedures and Rules
Dealing with Client Information
Financial Advice, Guidance & Information
Inheritance Tax Planning
Pension Planning
Regulatory Standards
The Regulatory Environment
The Retail Consumer
The UK Legal Framework
UK Financial Services Industry

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