Structured preparation for the CISI Level 4 UK Regulation and Professional Integrity unit, aligned to Version 18 for exams from 12 March 2026 to 11 March 2027.
Course syllabus information reviewed for 2026. Always check the awarding body’s latest official syllabus and candidate updates before booking or sitting your exam.
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Try 15 questions from Element 5: The Regulatory Framework relating to Financial Crime
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UK Regulation and Professional Integrity is a shared Level 4 unit across several CISI qualification routes. It is one of the two core units in the Investment Advice Diploma, pairs with Investment Management for the Certificate in Investment Management, and forms part of the UK route through the Diploma in Investment Compliance.
The syllabus connects the UK financial-services sector and consumer relationships with contract and trust law, ethics, FCA and PRA supervision, authorisation, financial crime, complaints, conduct of business and client-asset protection. This page follows current Version 18 and includes the applicable 2026 CISI candidate update.
| Assessment | Multiple-choice examination |
| Duration | 120 Minutes |
| Standard Pass Mark | 70% |
| Level | CISI Level 4 |
| Total Qualification Time | 140 hours |
| Feature | Exams Academy | Details |
|---|---|---|
| Access Period | Lifetime Access | One-time enrollment with no recurring fee |
| Practice Exams | Unlimited Retakes | |
| Study Support | Instant 24/7 AI Tutor | Self-service AI support; live instructor support is not included |
| Cost | $189 (One-Time) | One-time payment with no recurring subscription |
Prepare once for the same regulatory unit used across multiple CISI qualification routes.
Allocate revision time across all 80 questions using the six published Version 18 syllabus elements.
Review UK supervision, authorisation, financial crime, conduct, ethics and client protection against Version 18.
Use the same question bank in two different ways: build understanding with instant feedback, then switch to a realistic simulation when you are ready.
Choose an answer, see immediately whether it is right or wrong, and read the explanation before moving on.
Work against the official-style timer without revealing answers, then review your score and every explanation after submission.
Market structure, government, consumer relationships and the infrastructure supporting UK financial regulation.
FCA objectives, Handbook provisions, supervision, authorisation, SM&CR and international regulatory influence.
COBS, inducements, promotions, client categories, Consumer Duty, advice, product governance and CASS.
Legal concepts, trusts, ethical reasoning, the CISI Code, integrity behaviours and training and competence.
Market abuse, insider dealing, issuer disclosure, AML, terrorist financing, bribery, fraud and whistleblowing.
Complaints, the Financial Ombudsman Service, FSCS protection and data-protection rights and breaches.
Preparation centre
Use these connected guides for the syllabus, exam format, booking and revision strategy.
The Level 4 assessment contains 80 multiple-choice questions, lasts 120 minutes and has a 70% pass mark.
The page follows Version 18 for examinations from 12 March 2026 to 11 March 2027 and reflects the current CISI candidate update effective from 1 May 2026.
It is a core unit in the Investment Advice Diploma, combines with Investment Management for the Certificate in Investment Management, and is used in the UK Diploma in Investment Compliance route.
No. UK Regulation and Professional Integrity is a Level 4 unit with 80 questions. UK Financial Regulation is a separate Level 3 unit with its own syllabus and assessment.
The course includes five full 80-question mocks, 140 flashcards, 100 revision references, ten detailed summaries and a syllabus-grounded AI tutor.
Always confirm the latest official CISI syllabus and candidate updates for your 2026 sitting. The page records Version 18 and the applicable update verified on 11 August 2026.
Yes! Test your knowledge and see our AI tutor explanations with the free CISI UK Regulation and Professional Integrity Topic Quiz below. It contains 15 questions from one named topic and is not a full mock exam or overall readiness assessment.
No. For UK regulated activities, the firm must map the role to the FCA Training and Competence sourcebook and its appropriate-qualification tables. A CISI course title alone does not establish authorisation for every activity. Confirm the requirement with the employer and regulator before booking.
Use the official CISI booking flow to check remote-invigilation or test-centre availability for CISI UK Regulation and Professional Integrity. Confirm the current workbook edition and read Candidate Updates before booking.
Exams Academy checkout is displayed in US dollars and the card provider converts it to GBP. The official CISI exam and required workbook are booked and paid for separately at the current CISI price.
🇬🇧 Local market guide
Review how CISI UK Regulation and Professional Integrity connects to regulation, qualification pathways, booking, currency and careers in the United Kingdom before paying the official exam fee.
UK Regulation and Professional Integrity is a shared Level 4 unit. It is a core unit in the Investment Advice Diploma, combines with Investment Management for the Certificate in Investment Management, and is used in the UK Diploma in Investment Compliance route. Candidates should confirm the complete current unit combination for their chosen CISI qualification and role.
Financial Conduct AuthorityUse the official CISI booking flow to check remote-invigilation or test-centre availability for CISI UK Regulation and Professional Integrity. Confirm the current workbook edition and read Candidate Updates before booking.
Find a CISI test centreThis unit supports the regulatory and professional-integrity knowledge used in UK investment-advice, investment-management and compliance pathways. It is part of wider qualifications, not a standalone licence for every regulated activity; the employer and FCA Training and Competence tables determine the requirements for each role.
Exams Academy checkout is displayed in US dollars and the card provider converts it to GBP. The official CISI exam and required workbook are booked and paid for separately at the current CISI price.
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