Review a compact CISI UK Regulation and Professional Integrity cheat sheet for FCA, PRA, authorisation, client assets, complaints, conduct, ethics, financial crime, and escalation traps before Finance Prep practice.
Use this CISI UK Regulation and Professional Integrity cheat sheet as a conduct-and-control checklist before mixed practice. The exam usually rewards the answer that identifies the regulatory issue, the responsible party, and the correct escalation or client-protection step.
| Item | CISI UK RPI cue |
|---|---|
| Provider | CISI |
| Exam | UK Regulation and Professional Integrity |
| Format | 80 multiple-choice questions in 120 minutes |
| Main practice behavior | apply UK regulation, authorisation, conduct, complaints, client assets, ethics, and financial-crime controls |
| Finance Prep status | live practice available |
| Area | What to know | Common trap |
|---|---|---|
| UK financial services sector | market structure, institutions, regulators, consumer relationships | treating background structure as trivia |
| Contract and trust basics | contract formation, agency, trust roles, client relationships | over-lawyering beyond the exam issue |
| Integrity and ethics | conflicts, honesty, professional behavior, disclosure, escalation | choosing the commercially easy answer |
| Regulatory infrastructure | FCA, PRA, objectives, supervision, powers, principles | mixing firm authorisation with individual conduct |
| Authorisation | permissions, approved persons or functions, controlled activities, fit and proper themes | allowing activity before permission or role status is clear |
| Financial crime | AML, sanctions, bribery, suspicious activity, controls, reporting | treating financial crime as only a client-onboarding issue |
| Complaints and compensation | complaint recognition, records, timeframes, redress routes, client communication | solving complaints informally without process discipline |
| Conduct and client assets | fair treatment, disclosure, CASS-style controls, segregation, records | treating client consent as enough when the rule protects assets |
After each set, label each miss as authorisation, conduct, client assets, complaints, ethics, or financial crime. Then write the correct action in plain language: disclose, refuse, escalate, report, segregate, record, remediate, or seek approval. If the action is vague, drill the matching topic page before another mock.