Specialist qualifications

Certificate in Supervising in a Regulated Environment (CeSRE)

CeSRE is designed to provide supervisors with the skills required to excel in providing advice on regulated sales and to maintain compliant operations. 

About the qualification

This qualification is highly relevant for any professional involved in the supervision of regulated advisers and ensures a solid knowledge of the UK Financial Services environment and legislations. Developed to meet the needs of the industry, CeSRE covers the topics of staff competency, leadership and motivation, employment law and UK financial regulation.

You will gain knowledge of regulatory training, competence rules and management theories, and the ability to employ these effectively in your work.  

The Certificate in Supervising in a Regulated Environment is a Level 3 qualification registered with Ofqual in the Regulated Qualification Framework (RQF). 

Key facts

  • Registration is open year-round
  • Comprehensive study materials are provided
  • Multiple-choice exam assessment 
  • On-demand exams in over 150 nationwide locations with same day results
  • Upon completion, you are able to use the ‘CeSRE' designation after your name
CPQ Blue Testimonial
“I recently completed CeSRE as I had returned to a regulated supervisory role after several years and wanted to refresh my knowledge and bring it up-to-date. I found the content of the qualification excellent in fulfilling these requirements. In addition, it included sections on the principles of management, developing a team and managing performance. Although I have had many years experience in all these areas, I found the material and examples used were very well chosen and they would make an excellent reference point for anyone regardless of experience.” John Honick - Compliance Manager, Prosser Knowles Associates Ltd

Units

CeSRE consists of three units contained within two modules.

Module 1 - UK Financial Regulation (UKFR)

    Unit 1 - Introduction to Financial Services Environment and Products (L/501/8715)
    Unit 2 - UK Financial Services and Regulation  (R/501/8716)

The environment of the financial services industry, an introduction to the main financial services products and the interplay between regulation and legislation.

Module 2 - Supervising in a Regulated Environment (SRE)

    Unit 3 – Supervising in a Regulated Environment (H/506/9119)

The role of the supervisor in a regulated environment, including the Training and Competence rules (T&C) and their impact on supervisors and the staff they supervise.

Studying

Online access to study texts is available immediately after registration has been completed and hard copies will also be provided. The study text contains review questions and activities to support your learning.

The following additional study materials are also available to purchase:

  • Specimen exam papers
  • Revision notes

130 study hours are recommended.

Assessment

Both modules are assessed through objective exams

    Module 1 - UKFR:
    2-hour exam with 100 multiple-choice questions
    Module 2 - SRE:
    One and half hour exam with 75 multiple-choice questions

The exams can be taken at over 150 Pearson VUE centres nationwide with the result provided on the day.

View information on examination booking and venues
 

Professional-LIBF
CPQ-specialist-study
#

Looking for further information

Contact

For registration and other enquiries please contact Student and Customer Services on +44 (0)12 2781 8609.

FAQs