Regulation & Compliance

This is a professional level exam, covering the regulatory framework of the financial services industry, including participants' legal and ethical constraints, principles and policy.

This paper tests your understanding of the regulatory framework of the financial services industry and any legal and ethical constraints. You should have an understanding of the underlying principles and policy considerations as well as the practical application of the regulatory system. Although no specific prior knowledge is required, the regulatory environment is in the midst of significant change so you need to ensure your knowledge is up-to-date.

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