CII AF6: Senior Management and Supervision Free Coursework Practice: AF6 Coursework Planning Topic Preview

Q: Are these CII AF6: Senior Management and Supervision coursework scenarios based on the 2025/26 materials?

Yes. The scenarios use the supplied official AF6 2025/26 syllabus and study text, valid from 1 September 2025 to 31 August 2026.

Q: Does this practice replace an official CII AF6: Senior Management and Supervision assignment?

No. These scenarios practise analysis and structured decisions. The official AF6 assessment remains three written assignments completed under CII submission requirements.

Q: What does my CII AF6: Senior Management and Supervision topic-preview score mean?

It reflects only your choices across 15 coursework-planning scenarios. It is not a AF6 assignment mark and cannot predict your official coursework result.

Q: Can I retake this free topic preview?

Yes. You can retake these 15 questions, but repeated attempts cover the same topic. The full course unlocks all 50 practice questions and broader coursework-planning practice.

Question 1

A board Consumer Duty pack shows training completion and policy dates but no customer results.

What is the strongest first improvement?

Accepted Answer

Add segmented outcome measures, thresholds, exceptions, accountable actions and follow-up evidence.

Answer

Ask every employee to read the policy again.

Answer

Remove all narrative and retain only activity totals.

Answer

Treat the completion rate as proof of good outcomes.

Question 2

Complaint volumes are low, but vulnerable customers wait twice as long for support.

Which conclusion best applies AF6 analysis?

Accepted Answer

The aggregate hides a subgroup harm, so management should investigate the journey, causes and remediation by customer need.

Answer

Low total complaints prove the support outcome is met.

Answer

Vulnerable customers should always use the standard journey.

Answer

Only the FOS can examine service delays.

Question 3

A failed authorised firm cannot meet an eligible customer's claim, and the customer also alleges poor complaint handling.

What distinction should the response make?

Accepted Answer

FSCS may address eligible compensation after failure, while FOS addresses eligible complaint disputes on a fair-and-reasonable basis.

Answer

FOS pays statutory compensation for every failed firm.

Answer

FSCS decides all service complaints before a firm fails.

Answer

The two bodies have identical functions.

Question 4

A senior manager delegates transaction monitoring to a capable head of compliance and stops receiving reports.

What is the key governance weakness?

Accepted Answer

Delegation can be appropriate, but the manager still needs scoped accountability, reliable MI, challenge and escalation evidence.

Answer

Delegation automatically transfers the prescribed responsibility.

Answer

Compliance monitoring never requires senior oversight.

Answer

The manager should personally review every transaction.

Question 5

A certification employee passed a technical test but repeated file reviews show unsafe application.

What is the most defensible decision?

Accepted Answer

Do not rely on the test alone; restrict activity as needed, assess practical competence and implement a monitored development plan.

Answer

Certify automatically because knowledge was tested.

Answer

Ignore file evidence until the annual review.

Answer

Dismiss the employee without investigating causes.

Question 6

Two Statements of Responsibilities allocate the same customer-remediation decision to different senior managers.

What should management do?

Accepted Answer

Clarify decision ownership and hand-offs, update the responsibility documents and verify that actual practice matches them.

Answer

Keep the overlap because two owners remove all risk.

Answer

Delete both responsibilities from the map.

Answer

Let the issue be resolved informally after each incident.

Question 7

A firm maps servers and offices for resilience but does not identify the retail service customers rely on.

What is missing?

Accepted Answer

Start from the important business service and intolerable customer harm, then map the supporting dependencies.

Answer

Map only technology because people are replaceable.

Answer

Use the disaster-recovery plan as the impact tolerance.

Answer

Treat every internal process as equally important.

Question 8

A sales team is green on volume and revenue while complaints, cancellations and poor-value findings rise.

Which supervisory response is strongest?

Accepted Answer

Rebalance objectives and MI toward customer outcomes, analyse incentive effects and act on root causes.

Answer

Increase the sales target because performance is green.

Answer

Remove complaints from the dashboard.

Answer

Provide generic product training without changing incentives.

Question 9

A risk is scored high before controls and low after controls, but no control testing has occurred.

How should the residual rating be treated?

Accepted Answer

As unverified; test design and operation before concluding that residual exposure is low.

Answer

As certain because the heat map is approved.

Answer

As irrelevant because inherent risk was high.

Answer

As automatically transferred to internal audit.

Question 10

An outsourced service meets its uptime SLA but produces recurring poor customer communications.

What should the firm conclude?

Accepted Answer

The SLA is incomplete; retain accountability, add outcome and quality measures, investigate causes and enforce remediation or exit rights.

Answer

Uptime proves the service is compliant.

Answer

The provider alone owns the regulatory outcome.

Answer

Terminate immediately without assessing continuity risk.

Question 11

A fast-growing remote advice team has one supervisor for 35 new advisers.

Which evaluation is strongest?

Accepted Answer

Assess role complexity, competence, customer risk, observation and support; growth and inexperience may require a narrower span or layered controls.

Answer

Thirty-five is acceptable because remote work needs no observation.

Answer

A fixed span of ten is mandatory for every firm.

Answer

Replace supervision with an annual customer survey.

Question 12

Compliance designs a sales control, operates it and reports that its own control is effective.

What three-lines concern arises?

Accepted Answer

Second-line independence and challenge are weakened because compliance has taken first-line ownership and then assessed itself.

Answer

Internal audit should take daily sales ownership.

Answer

The arrangement proves all three lines are present.

Answer

Operational management has no role once compliance is involved.

Question 13

A team climate survey has a 22% response rate and a high average score.

How should a senior manager use it?

Accepted Answer

Treat it as limited evidence, examine response bias and segments, triangulate with other indicators and publish follow-up actions.

Answer

Declare culture healthy from the average alone.

Answer

Discard all survey evidence permanently.

Answer

Use the score as proof of good customer outcomes.

Question 14

Experienced staff handle low-risk servicing while new staff advise vulnerable customers under the same monitoring frequency.

What is the strongest correction?

Accepted Answer

Apply risk-based supervision using task harm, competence and customer need to set observation and review intensity.

Answer

Monitor every person identically to demonstrate fairness.

Answer

Stop monitoring experienced staff entirely.

Answer

Base frequency only on employee seniority.

Question 15

The board appoints an NED to run a failing operations department for six months.

What issue should the response evaluate?

Accepted Answer

The NED risks losing independence and assuming executive management; the board needs clear temporary governance and capable executive ownership.

Answer

NEDs are always required to manage departments.

Answer

Independence is irrelevant once appointed to the board.

Answer

The board should withdraw all oversight.

CII AF6: Senior Management and Supervision Free Coursework Practice

A board Consumer Duty pack shows training completion and policy dates but no customer results. What is the strongest first improvement?

CII AF6: Senior Management and Supervision

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