CISI Certificate in Corporate Finance Regulation
Master the regulatory framework governing corporate finance in the UK. Essential for anyone taking the CISI exam.
Preview & See What You Will Get
CISI Corporate Finance Regulation with Smart Practice
This is more than just a study guide. It’s a comprehensive exam mastery system designed to give you a rock-solid foundation in Corporate Finance Regulation.
We've transformed the latest syllabus into a dynamic, interactive learning experience. No more wading through dense textbooks - our system focuses on the core examinable concepts you need to pass your exam with confidence.
Key Benefits
Three Full Exam Simulators
Don't just memorize - practice under pressure with three distinct modes.
- ✓ Timed Real Exam Mode: Replicates actual environment (100 Questions, 3 Hours).
- ✓ Topic-by-Topic Drill Mode: Focus on weak areas.
- ✓ Adaptive Challenge Mode: Difficulty that adjusts to you.
300 High-Quality Practice Questions
Crafted to match the exam-standard wording and logic used by examiners.
- ✓ Scenario-based questions for practical application.
- ✓ Detailed Step-by-Step Explanations for every answer.
- ✓ Metrics to track speed and accuracy over time.
AI Exam Tutor (On-Demand Support)
Meet your private mentor, specifically trained on CISI regulations.
- ✓ Instant Clarification for complex rules.
- ✓ 24/7 Availability whenever you're in the study zone.
- ✓ Tailored Explanations in plain business logic.
Rapid-Recall Digital Flashcards
Digital flashcards optimized for quick reinforcement during short breaks.
- ✓ Critical thresholds and reporting timelines.
- ✓ Designed to make easy points stick permanently.
- ✓ Mobile-ready for study on the go.
High-Yield Cheat Sheets
The distilled 'Golden Rules' of the Regulatory landscape.
- ✓ Condensed summaries of FCA requirements.
- ✓ Designed for rapid recall in the final hours.
- ✓ Essential public offering and M&A disclosures.
Who Is This For?
Frequently Asked Questions
Syllabus
Module 1: The Regulatory Environment
~14 of 50 exam questions
- • The Regulatory Infrastructure (FSMA 2000, FCA, PRA, FPC, HM Treasury, BoE)
- • Company Law (Schemes of Arrangement, Squeeze-Out/Sell-Out, Pre-Emption Rights, Reduction of Share Capital)
- • The UK Markets in Financial Instruments Directive (UK MiFID II)
Module 2: Managing Regulatory Obligations
~16 of 50 exam questions
- • FCA Conduct of Business Sourcebook (COBS) Applied to Corporate Finance
- • Rules Applying to All Firms Conducting Designated Investment Business
- • Financial Promotion
- • The Prospectus Regulation Rules
- • Client Categorisation
- • Conflicts of Interest
- • Personal Account Dealing
- • Advising and Dealing
- • Money Laundering, Counter-Terrorism and Bribery
- • Insider Dealing
- • Market Abuse
Module 3: Corporate Governance
~5 of 50 exam questions
- • The latest UK Corporate Governance Code (Board Leadership, Division of Responsibilities, Composition & Succession, Audit & Risk, Remuneration)
- • Environmental, Social and Governance (ESG)
Module 4: Takeovers and Mergers
~7 of 50 exam questions
- • Relevant Bodies (Takeover Panel, UK Competition Authorities, Pensions Regulator)
- • The Takeover Code (General Principles, Rules on Offers, Mandatory & Voluntary Offers, Timetables, Frustrating Actions)
Module 5: Equity Capital Markets
~8 of 50 exam questions
- • The Regulation of UK Equity Capital Markets (UK Listing Rules, Sponsor Regime, Prospectus Requirements, Continuing Obligations, Market Abuse Regulation)
- • The Rules Specific to AIM Market (Nominated Advisers, Admission, Ongoing Obligations)
CISI Certificate in Corporate Finance Regulation
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Course Features
Student Reviews
Verified purchases from actual professionals preparing for their CISI exams.
Recent Reviews
Sponsors and nominated advisers
"The roles and responsibilities of sponsors vs nominated advisers — a nuanced area that the course handles well."
FCA handbook references are helpful
"Knowing which FCA handbook applies to which activity is crucial. The summaries map this out clearly."
Regulation made practical
"The listing rules and takeover code sections are explained with real market examples. Much more engaging than reading the raw rulebook."
Regulatory framework decoded
"Corporate finance regulations can be overwhelming, but this course breaks them down logically. The cheat sheets are invaluable for last-minute revision."
FSMA sections clearly explained
"The general prohibition, regulated activities, and exemptions — complex FSMA provisions made accessible."
Great Study Resource
"The mock simulators for Corporate Finance Regulation are very accurate. Helped me identify my weak spots early on."
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