R01 2013-2014 Syllabus - The Chartered Insurance Institute

Syllabus constructionThe syllabus consists of learning outcomes andassessment criteria only. A comprehensive listing of theindicative content is located at www.fsa.gov.uk/static/pubs/other/exam_stnds/rdr%20core%20standards%20financial%20services%20regulation%20and%20ethics.pdf.Reading listThe following list provides details of various publicationswhich may assist with your studies.Note: The examination will test the syllabus alone. Thereading list is provided for guidance only and is not initself the subject of the examination. The publications willhelp candidates keep up-to-date with developments andwill provide a wider coverage of syllabus topics.CII/Personal Finance Society members can borrow mostof the additional study materials below from KnowledgeServices.CII study texts can be consulted from within the library.For further information on the lending service, please goto www.cii.co.uk/knowledge.CII study textFinancial services, regulation and ethics. London: CII. Studytext R01.Additional readingAdditional reading materials are available through thelibrary or on the Knowledge Services website.New materials are added frequently – for information aboutnew books and articles in your area of interest, please visitwww.cii.co.uk/knowledge or email knowledge@cii.co.uk.Books (and ebooks)The process of financial planning. Chris Gilchrist. Theadviser’s guide series. Annual. (London, Taxbriefs).Business ethics and values: individual, corporateand international perspectives. Colin Fisher and AlanLovell. FT Prentice Hall, 2006. Also available online atwww.cii.co.uk/knowledge (CII/Personal Finance Societymembers only).Winning client trust. Chris Davies. London: Ecademy Press,2011.Factfiles and other online resourcesThe regulation of retail investment business. Kevin Morrisand Tony Wiltshire. Updated as necessary. Available onlinevia www.cii.co.uk/knowledge (CII/Personal Finance Societymembers only).The regulatory framework. Simon Collins. Updated asnecessary. Available online via www.cii.co.uk/knowledge(CII/Personal Finance Society members only).The regulation of insurance intermediaries. Ian Youngman(based on an earlier factfile by Tony Wiltshire). London:CII Knowledge Services. Updated as necessary. Availableonline via www.cii.co.uk/knowledge (CII/Personal FinanceSociety members only).The regulation of mortgage intermediaries. Brad Baker andTony Wiltshire. London: CII Knowledge Services. Updated asnecessary. Available online via www.cii.co.uk/knowledge(CII/Personal Finance Society members only).The regulation of investment intermediaries. Kevin Morrisand Tony Wiltshire. London: CII Knowledge Services.Updated as necessary. Available online viawww.cii.co.uk/knowledge (CII/Personal Finance Societymembers only).The EU single market. The European Commission.Updated as necessary. Available online athttp://ec.europa.eu/internal_market/finances/index_en.htmFurther articles and technical bulletins are available atwww.cii.co.uk/knowledge (CII and Personal Finance Societymembers only).Journals and magazinesFinancial solutions. London: CII. Six issues a year. Alsoavailable via www.cii.co.uk/knowledge (CII/PersonalFinance Society members only).Reference materialsDictionary of insurance. C Bennett. 2nd ed. London:Pearson Education, 2004. Also available as an ebook viawww.cii.co.uk/knowledge (CII/Personal Finance Societymembers only).Lamont’s glossary: the definitive plain English moneyand investment dictionary. Barclay W Lamont. 10thed. London: Taxbriefs, 2009. Also available online atwww.cii.co.uk/knowledge (CII/Personal Finance Societymembers only).Dictionary of banking and finance. P H Collin.A&C Black, 2005. Also available as an ebook viawww.cii.co.uk/knowledge (CII/Personal Finance Societymembers only).Harriman’s financial dictionary: over 2,600 essentialfinancial terms. Edited by Simon Briscoe and Jane Fuller.Harriman House, 2007. Also available as an ebook viawww.cii.co.uk/knowledge (CII/Personal Finance Societymembers only).The professional adviser’s factfile. Taxbriefs. London:Taxbriefs. Looseleaf.The Financial Conduct Handbook and Prudential Handbook,London: Financial Conduct Authority and PrudentialRegulatory Authority respectively. Both available online atwww.fshandbook.info/FS/.Examination guideAn examination guide, which includes a specimen paper, isavailable to purchase via www.cii.co.uk.If you have a current study text enrolment the specimenpaper is included, as a mock test, via Revisionmate(www.revisionmate.com). Details on how to access thisresource are on the first page of the study text.Exam technique/study skillsThere are many modestly priced guides available inbookshops. You should choose one which suits yourrequirements.Published April 2013 4 of 4© The Chartered Insurance Institute 2013