CISI Regulation and Compliance Exam Preparation
Version 13 preparation for the mandatory advanced Regulation and Compliance unit in the CISI Level 6 Diploma in Investment Compliance.
Course syllabus information reviewed for 2026. Always check the awarding body’s latest official syllabus and candidate updates before booking or sitting your exam.
Prepare for the CISI Regulation and Compliance examination
Regulation and Compliance is the mandatory advanced unit in the CISI Level 6 Diploma in Investment Compliance. It is a distinct narrative examination and should not be confused with the existing Level 3 Global Financial Compliance award or with the complete three-unit Diploma.
This storefront follows the latest official syllabus located in 2026: Version 13.0, covering examinations from 25 November 2026 to 9 June 2027. The manual contains six study chapters, while the official syllabus is organised into five examinable parts. Both structures are shown accurately rather than being forced into a false one-to-one map.
The formal assessment is three hours and fifteen minutes. Section A contains up to ten compulsory short-answer questions worth 30%; Section B requires two practical or problem-solving answers from four, including one compulsory question, and is worth 40%; Section C requires two essays from four and is worth 30%. The pass mark is variable but the official Diploma factsheet states that it is never below 50%.
Always confirm the latest official CISI syllabus and candidate updates for the year and sitting you plan to take. The current source for that sitting controls if CISI publishes a later change. The learning and written-answer practice bank is being prepared, and purchasers see the current two-hour completion notice while that work finishes.
Exam Format & Details
| Assessment | Three-hour-and-fifteen-minute narrative examination: compulsory short answers, two practical problem-solving answers including one compulsory question, and two essays selected from four |
| Duration | 195 Minutes |
| Standard Pass Mark | The official pass mark is variable; the CISI Diploma factsheet states that it is never below 50%. |
| Level | CISI Level 6 |
Key Benefits
Three-section written-exam method
Prepare the distinct retrieval, problem-solving and structured-argument skills required across Sections A, B and C.
- ✓ Compulsory short answers
- ✓ Practical compliance scenarios
- ✓ Balanced essay arguments
Current UK regulatory framework
Connect statutes, the FCA Handbook, the PRA Rulebook and other provisions with their practical impact on firms and senior management.
- ✓ Regulatory framework
- ✓ FCA and PRA requirements
- ✓ Markets and other provisions
Management-level application
Develop the compliance-officer viewpoint needed to identify risks, evaluate controls and recommend ethical, workable responses.
- ✓ Risk and control analysis
- ✓ Professional judgement
- ✓ Current regulatory developments
Syllabus
Module 1: Regulatory Framework
UK statutory structure together with European and international financial-services structures relevant to the UK.
- • FSMA and statutory instruments
- • Bank of England and financial-services legislation
- • European and international structures
Module 2: FCA Handbook and PRA Rulebook of Rules and Guidance
High-level and business standards, regulatory processes, redress and perimeter guidance applicable to UK investment business.
- • PRIN, SYSC and individual accountability
- • COBS, CASS and market conduct
- • Supervision, redress and perimeter guidance
Module 3: Other Regulatory Provisions
Takeovers, listings, market abuse, insider dealing, financial crime, bribery, whistleblowing, data protection, ESG and cryptoassets.
- • Market abuse and insider dealing
- • Financial-crime framework
- • Conduct, data and emerging provisions
Module 4: The Regulation of Markets and Exchanges
The regulatory status and operation of recognised and designated exchanges, overseas exchanges and multilateral trading venues.
- • RIEs, DIEs and ROIEs
- • MTFs and OTFs
- • Systematic internalisers
Module 5: Current Regulatory Developments
Current UK regulatory initiatives, consultations, enforcement, supervisory communications and decisions affecting financial services.
- • Regulatory Initiatives Grid and business plans
- • Consultations and supervisory statements
- • Enforcement and Upper Tribunal developments
Who Is This For?
Preparation centre
CISI Regulation and Compliance Exam Guides
Use these connected guides for the syllabus, exam format, booking and revision strategy.
Frequently Asked Questions
It is a three-hour-and-fifteen-minute narrative examination. Section A is worth 30%, Section B requires two practical or problem-solving answers including one compulsory question and is worth 40%, and Section C requires two essays selected from four and is worth 30%.
No. Regulation and Compliance is the mandatory advanced unit in the three-unit Diploma route. Candidates must also satisfy the prerequisite and pass the other required regulatory and specialist units under the current CISI structure.
No. Global Financial Compliance is a separate Level 3 examination that may form part of the Diploma route. Regulation and Compliance is the Level 6 narrative unit with its own syllabus and written assessment.
The page follows Version 13.0, covering examinations from 25 November 2026 to 9 June 2027. Always check the latest official CISI syllabus and candidate updates for the year and sitting you plan to take.
The pass mark is variable. The official CISI Diploma factsheet states that it is never below 50%, so candidates should not treat 50% as a guaranteed fixed threshold for every sitting.
Checkout is open while the latest learning content and written-answer practice bank are being completed. Purchasers see the current two-hour completion notice on their dashboard.
CISI Regulation and Compliance
Course Features
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