7/1/25, 12:16 AM CISI Regulations
CISI REGULATIONS TEST BANK EXAM \NEWEST
VERSION WITH COMPLETE QUESTIONS AND ACCURATE
DETAILED ANSWERS \VERIFIED ANSWERS \ALREADY
GRADED A+
How many times do FPC meet 4
annually?
Until what date can EEA 31 March 22
firms still passport to UK?
How long can the regulator 6 months
take to reach a decision over
Part4A permission?
How many years of 6 years
employment history is
required under SMCR Fit
and Proper Test?
Within how many months 30 months
must those conducting
activities for RCs
demonstrate exam
success?
How many hours of CPD 35 hours
must those conducting
activities for RCs
demonstrate?
How many days does a firm 28 days
have to appeal to Upper
Tribunal if issued a decision
or supervisory notice?
For how many years can the 3 years
FCA hold an individual
https://quizlet.com/1054973294/cisi-regulations-flash-cards/ 1/1
5
, 7/1/25, 12:16 AM CISI Regulations
accountable for disciplinary
action after the
misconduct?
For how long can the 12 months
regulator ban
products/promotions
without consulting the
firm?
For how many years should 5 years
electronic or voice records
be kept?
How must past performance 5 years (or life of investment) in complete 12-month periods
figures be displayed on RC
promotions?
What are cancellation rights 30 days
for life products under the
Distance Marketing
Directive?
What are cancellation rights 14 days
for other products (e.g., ISAs)
under the Distance Marketing
Directive?
7:15-8:00 = before 8
How should trade reporting
8:00-17:15 = 3 mins or before 17:15,
to the exchange be
whichever sooner After 17:15 =
completed?
before next reporting period
When must transaction T+1
reporting be done to the
regulator via an approved
mechanism?
When must transaction T+1
confirmations be sent to any
client?
What does the General rule 5 years for MIFID business, 3 years for non-MIFID business
specify about recordkeeping?
https://quizlet.com/1054973294/cisi-regulations-flash-cards/ 2/1
5
CISI REGULATIONS TEST BANK EXAM \NEWEST
VERSION WITH COMPLETE QUESTIONS AND ACCURATE
DETAILED ANSWERS \VERIFIED ANSWERS \ALREADY
GRADED A+
How many times do FPC meet 4
annually?
Until what date can EEA 31 March 22
firms still passport to UK?
How long can the regulator 6 months
take to reach a decision over
Part4A permission?
How many years of 6 years
employment history is
required under SMCR Fit
and Proper Test?
Within how many months 30 months
must those conducting
activities for RCs
demonstrate exam
success?
How many hours of CPD 35 hours
must those conducting
activities for RCs
demonstrate?
How many days does a firm 28 days
have to appeal to Upper
Tribunal if issued a decision
or supervisory notice?
For how many years can the 3 years
FCA hold an individual
https://quizlet.com/1054973294/cisi-regulations-flash-cards/ 1/1
5
, 7/1/25, 12:16 AM CISI Regulations
accountable for disciplinary
action after the
misconduct?
For how long can the 12 months
regulator ban
products/promotions
without consulting the
firm?
For how many years should 5 years
electronic or voice records
be kept?
How must past performance 5 years (or life of investment) in complete 12-month periods
figures be displayed on RC
promotions?
What are cancellation rights 30 days
for life products under the
Distance Marketing
Directive?
What are cancellation rights 14 days
for other products (e.g., ISAs)
under the Distance Marketing
Directive?
7:15-8:00 = before 8
How should trade reporting
8:00-17:15 = 3 mins or before 17:15,
to the exchange be
whichever sooner After 17:15 =
completed?
before next reporting period
When must transaction T+1
reporting be done to the
regulator via an approved
mechanism?
When must transaction T+1
confirmations be sent to any
client?
What does the General rule 5 years for MIFID business, 3 years for non-MIFID business
specify about recordkeeping?
https://quizlet.com/1054973294/cisi-regulations-flash-cards/ 2/1
5
