DiPFA FSRE: Financial Services, Regulation and Ethics – 5-Day Course

Financial Services, Regulation and Ethics (FSRE) provides the regulatory and ethical foundation for the Diploma for Financial Advisers (DiPFA). It is a Level 4 module and provides students with an understanding of the UK financial services industry, regulation, financial products and professional ethics.

Clarity Financial Training Ltd provides a 5-day tutor-led FSRE course, designed to simplify the syllabus, explain key concepts and help students prepare for both FSRE assessments.

FSRE explores three key areas:

Financial Services – financial markets, institutions, products and the different components of the UK financial system.
Regulation – the UK regulatory framework, including the role of the Financial Conduct Authority (FCA), legislation and regulatory requirements.
Ethics – ethical and unethical behaviour, professional standards and the application of regulatory principles when dealing with clients.

FSRE provides a foundation for further study towards the Diploma for Financial Advisers (DiPFA).

What Does FSRE Cover?

The FSRE syllabus includes:

The structure of the UK financial services industry
Financial institutions and the services they provide
Key components and interrelationships within the financial system
Financial markets and economic influences
Financial planning products
Legal concepts relevant to financial services
The UK financial services regulatory framework
The role of the Financial Conduct Authority (FCA)
The relationship between regulation and legislation
Ethical and unethical behaviour
Regulatory principles and requirements
The financial advice process
Essential skills required when dealing with clients

FSRE Assessment

FSRE consists of two mandatory units:

FRE1 – Industry, Regulation and Key Parties
FRE2 – Skills, Principles and Ethical Behaviours

Each unit is assessed by a one-hour examination consisting of:

25 standalone multiple-choice questions
3 case studies with 5 linked multiple-choice questions each
40 marks available per unit
70% pass mark for each unit

Both units must be passed to complete FSRE.

Clarity FT FSRE Training Course

Our 5-day FSRE course (9.30am to 5pm) works through the syllabus in a structured topic order.

The course is designed to help students understand how the different areas of financial services connect rather than simply memorising information for the assessment.

Throughout the course, we use explanations, examples, calculations and practice questions to reinforce your understanding and develop your exam technique.

What’s Included?

Depending on your chosen study method, your FSRE training can include:

5 days of structured tutor-led training
Clarity FT presentation materials
Summary tables and revision resources
Whiteboards and diagrams to help visualise complex topics
Worked calculations and examples
Explanations of financial markets and how they interrelate
Practice and exam-style questions
Mock examination practice
Online study tools
Tutor support by email
Relevant distance learning access for classroom and live webinar students
Access to Mock-Quiz-Expert

Mock-Quiz-Expert contains over 5,000 multiple-choice questions and case studies across our qualifications, helping students test their knowledge and identify areas requiring further revision.

Qualifying classroom and live webinar courses are also covered by our Pass Guarantee, subject to our Terms and Conditions.

Study FSRE with Clarity FT

Clarity Financial Training Ltd is an LIBF Accredited Learning Support Provider.

Our FSRE training is available through classroom, live tutor-led webinar and distance learning, giving you the flexibility to choose the study method that works best for you.