UK Regulation & Professional
Integrity
2025/2026
Exam Prep Material
with
Verified Questions and Answers
A+ Grades Guarantee
, 14 years
Max punishment for Money
Laundering
Max punishment for Market unlimited fine
Abuse
2 years
Max punishment for breaching
gen prohibition
5 years
Max punishment for providing
funding to terrorists
CISI P8 Industry, Self: uphold highest personal & professional standards
Client: act honestly & fairly at all times when dealing with clients,
CISI P1 act in best interests of each client, customer and counterpary
Regulator: observe applicable laws, regs and professional conduct
CISI P3 standards when carrying out fin services
Client, Self, Colleagues: attain and actively maintain level of
professional competence appropriate to responsibilities & promote
CISI P6 development of others
Market Participant: observe standards of market integrity, good
CISI P4 practice and conduct expected by participants of that market
Firm/Industry: act with integrity in fulfilling responsibilities of
appointment and seek to avoid any acts, omissions or practice
CISI P2 which damage reputation of your firm or fin services industry
Client: be alert to and to the best of ability manage relevant
CISI P5 conflicts of interest
Chattels moveable personal property
Tax & Chancery Chamber is set the Ministry of Justice
up by
has prescribed info about the nature and complexity of the
investment; satisfies info needs of retail clients when selling
Key Features document packaged products, cash deposit ISAs and child trust funds;
includes cancellation terms
RC (all business) & PC (MifID) for discretionary & advisory
Suitability required for services
Suitability report issued for RC only, provided in durable medium
RC & PC, for services other than advising & managing (i.e.,
execution), deals in relation to derivatives and warrants for RC via
Appropriateness required for a direct offer
Appropriateness not required execution only in non-complex fin instruments and when client has
stated it is not needed
when
Integrity
2025/2026
Exam Prep Material
with
Verified Questions and Answers
A+ Grades Guarantee
, 14 years
Max punishment for Money
Laundering
Max punishment for Market unlimited fine
Abuse
2 years
Max punishment for breaching
gen prohibition
5 years
Max punishment for providing
funding to terrorists
CISI P8 Industry, Self: uphold highest personal & professional standards
Client: act honestly & fairly at all times when dealing with clients,
CISI P1 act in best interests of each client, customer and counterpary
Regulator: observe applicable laws, regs and professional conduct
CISI P3 standards when carrying out fin services
Client, Self, Colleagues: attain and actively maintain level of
professional competence appropriate to responsibilities & promote
CISI P6 development of others
Market Participant: observe standards of market integrity, good
CISI P4 practice and conduct expected by participants of that market
Firm/Industry: act with integrity in fulfilling responsibilities of
appointment and seek to avoid any acts, omissions or practice
CISI P2 which damage reputation of your firm or fin services industry
Client: be alert to and to the best of ability manage relevant
CISI P5 conflicts of interest
Chattels moveable personal property
Tax & Chancery Chamber is set the Ministry of Justice
up by
has prescribed info about the nature and complexity of the
investment; satisfies info needs of retail clients when selling
Key Features document packaged products, cash deposit ISAs and child trust funds;
includes cancellation terms
RC (all business) & PC (MifID) for discretionary & advisory
Suitability required for services
Suitability report issued for RC only, provided in durable medium
RC & PC, for services other than advising & managing (i.e.,
execution), deals in relation to derivatives and warrants for RC via
Appropriateness required for a direct offer
Appropriateness not required execution only in non-complex fin instruments and when client has
stated it is not needed
when
