The course

• 1

  Start here

  Unit 1 has 85 questions in 1 hour 40 minutes

  Free: A tour of Unit 1
• 2

  Financial markets and institutions

  15 of the 85 questions in our full mock

  Markets, securities and how UK shares tradeListing, disclosure and corporate governance21 questions
• 3

  Ethics and investment professionalism

  10 of the 85 questions in our full mock

  Ethics and the Code and Standards15 questions
• 4

  The regulation of financial markets and institutions

  25 of the 85 questions in our full mock

  Who regulates UK financial servicesThe FCA's Principles, SM&CR and the markets it overseesFree: Client categorisation and financial promotionsSuitability, appropriateness, best execution and researchProduct governance, disclosure and reporting to clientsClient assets, complaints and compensationMoney laundering, insider dealing and market abuse103 questions
• 5

  Legal concepts

  5 of the 85 questions in our full mock

  Legal concepts for advisers11 questions
• 6

  Client advice

  18 of the 85 questions in our full mock

  Client needs, the Consumer Duty and risk profilesRecommendations and institutional investors19 questions
• 7

  Taxation in the UK

  12 of the 85 questions in our full mock

  Income tax, National Insurance and complianceCapital gains tax, inheritance tax and other taxesTaxing investments and tax planning25 questions
• 8

  Test day

  Pace 85 questions over 1 hour 40 minutes

  Test day