R01 - Financial services, regulation and ethics - January 2020

K2 Leisure Centre
Thursday, 30 January 2020
9:00 am – 4:30 pm
    • John Trayner, CII Approved Trainer

The session takes place at K2 Leisure Centre, Crawley and opens for registration at 9.00am for a 9.30am start and ends at 4.30pm, providing six hours' CPD.

The cost of this course is £80 for CII/PFS members (£100 for non-members) and includes all tuition, tea/coffee on arrival and during formal breaks and a buffet lunch. If you would like to join us for this event, please click on the Book Now button below. (Please note, to benefit from the discounted rate, you will be required to provide your membership number at the time of booking.)

Overall objective.
To significantly improve delegates’ chances of passing the exam by developing an understanding of the key technical points that are likely to be tested.

This will be a one day event

By the end of the event delegates will able to understand:

  • the structure and functions of the UK financial services industry

  • the concepts of powers of attorney, law of contract, property ownership, insolvency and bankruptcy, wills intestacy and trusts

  • the principles of UK financial regulation

  • the main powers of the FCA

  • the principles of individuals and firms becoming authorised

  • the way in which the Conduct of Business handbooks regulate the interaction between adviser and client

  • the process of making regulated complaints together with the role of the Financial Services Ombudsman and Financial Services Compensation Scheme

  • the requirements to prevent money laundering and data protection

Course materials

You will be sent a link to the course materials 10 days before the event, for you to bring as printed copies or to be viewed on your tablet or laptop. Alternatively, printed materials can be provided on the day for an additional cost of £5. Please select the appropriate ticket type below.

Other Information

There is ample free on-site parking at the venue.

Please note that this event will take place on the 1st floor at K2. A lift will normally be available for delegates to access the training, but stairs will need to be used in the event of an emergency evacuation of the building.

Full joining instructions will be sent to delegates ahead of the event.

About our speaker
John has over 40 years’ experience in insurance and financial services. Not surprisingly most of his former employers no longer exist because of mergers and takeovers. For example he joined Leeds Permanent Building Society in 1986 and at retirement was working for Lloyds Banking Group even though he’d never changed employers! The last 15 years were spent in the training department specialising in professional exams.

Not wishing to spend retirement watching daytime TV he decided to become a freelance trainer specialising in helping people to pass the CII’s Financial Services exams.

John is a Chartered Insurance Practitioner and a Fellow of both the Chartered Insurance Institute and the Personal Finance Society.

  • K2 Leisure Centre
  • Pease Pottage Hill
  • Crawley
  • RH11 9BQ
View map

CII Accredited

This demonstrates the quality of an event and that it meets CII member CPD scheme requirements.

6 hours' CPD can be claimed for this event if relevant to your learning and development needs.

It is recommended that you keep any evidence of the CPD activity you have completed and upload copies to the recording tool as the CII may ask to see this if your record is selected for review. Details of the scheme can be viewed online at www.cii.co.uk/cpd.