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Financial Services, Regulation and Ethics (FSRE)

The Financial Services, Regulation and Ethics qualification prepares you to work within the retail financial advice sector and provides a platform for continued studies within financial services. 

About the qualification

FSRE provides a comprehensive introduction to UK financial services, through focusing on the environment, key components and interrelationships of the financial system, and legal concepts relevant to retail financial advice. It appears in both the Financial Services Administrator and the Compliance/Risk Officer apprenticeship standards, providing you with a foundation which underpins employment in many fields within the sector.

The qualification examines the FCA’s approach to ethical and unethical behaviours and develops an understanding of the Code of Ethics and the skills required to provide financial advice to clients.

The Financial Services, Regulation and Ethics is a Level 4 award registered with Ofqual in the Regulated Qualification Framework (RQF).

Key facts

  • Registration is open year-round
  • Comprehensive study materials are provided with additional support materials available to purchase
  • Multiple-choice exam assessment
  • On-demand exams in over 150 nationwide locations with same day results
  • Upon completion, you are able to use the 'FSRE’ designation after your name
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Units

FSRE comprises one unit.

Unit 1 - Financial Services Regulation and Ethics (FSRE)

Y/601/2801


  • The environment of the financial services industry 
  • Key components and interrelationships of the financial system 
  • Principles of the regulatory framework and the implications for the financial advice process
  • The importance of the concept of risk and how risks relate to institutions and individuals
  • Legal concepts and the interplay between regulation and legislation
  • The FCA's approach to ethical and unethical behaviours and the Code of Ethics

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 study text contains review questions and activities to support your learning. A specimen paper is also provided.

Total Qualification Time = 112 hours.

Assessment

Assessment is through a 2-hour objective exam comprising 90 multiple-choice questions and 2 case studies with 5 linked multiple-choice questions.

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

View information on examination booking and venues 

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Looking for further information

Contact

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

FAQs