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CISI UK FINANCIAL REGULATIONS (REGS) MOCK
EXAM LATEST 2025/ 2026 ACTUAL EXAM WITH
COMPLETE QUESTIONS AND CORRECT DETAILED
ANSWERS (100% VERIFIED ANSWERS) |ALREADY
GRADED A+| ||LATEST EXAM!!!|| ||BRANDNEW!!!||
The FCA will notify an individual that they are subject to an
investigation using which of the following methods?
Letter to the individual's firm
Personal notice to the individual in writing
Telephone call
Personal notice to the individual by fax - Answer-Personal
notice to the individual in writing - durable medium
Where a communication by a firm contains an indication of
the possible future performance of a product, which of the
following cannot be included?
The effects of commissions, fees or other charges.
The reasonable assumptions on which the performance is
based.
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A reference to the basis of the forecast being simulated
past performance.
A warning that forecasts are not reliable indicators of
future performance. - Answer-Future performance
estimates cannot be based on simulated past
performance.
Under the Terrorism Act 2000, when specifically should a
suspicion of terrorist activities be reported?
Without delay
Within 5 business days
By the next business day
As soon as reasonably practicable - Answer-The wording
of the Terrorism Act is 'as soon as reasonably practicable'.
When does the FCA publish details of a prohibition order?
After issuing a final notice
After issuing a warning
Once the FCA has notified the individual concerned and
the firm
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Once the FCA has notified the individual concerned -
Answer-FCA penalties are effective once a final decision
notice has been issued. Publication takes place at that
point.
After issuing a final notice
For how long must records relating to pension transfers be
kept?
Six years
Five years
Three years
Indefinitely - Answer-Indefinitely (1 Mark)
Which of the following is not a 'disciplinary sanction'?
Financial penalty
Public censure
Statement of misconduct
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Withdrawal of approval - Answer-Withdrawal of approval
will be used when an individual is not fit and proper, and is
a 'protective' or 'remedial' sanction.
Which of the following will constitute money laundering?
Ramping prices
Disseminating false rumours about a company
Passing on price sensitive information used for dealing
Entering into a number of transactions to hide the source
of money - Answer-Option one and two are market abuse.
Option three is insider dealing (or market abuse). Option
four is money laundering.
The main aim of the UK Investment Firms Prudential
Regime (UK IFPR) is?
To focus the prudential requirements on the risks that the
firm faces and considers
To focus the prudential requirements on the risks that the
firm can pose to consumers and markets
CISI UK FINANCIAL REGULATIONS (REGS) MOCK
EXAM LATEST 2025/ 2026 ACTUAL EXAM WITH
COMPLETE QUESTIONS AND CORRECT DETAILED
ANSWERS (100% VERIFIED ANSWERS) |ALREADY
GRADED A+| ||LATEST EXAM!!!|| ||BRANDNEW!!!||
The FCA will notify an individual that they are subject to an
investigation using which of the following methods?
Letter to the individual's firm
Personal notice to the individual in writing
Telephone call
Personal notice to the individual by fax - Answer-Personal
notice to the individual in writing - durable medium
Where a communication by a firm contains an indication of
the possible future performance of a product, which of the
following cannot be included?
The effects of commissions, fees or other charges.
The reasonable assumptions on which the performance is
based.
,2|Page
A reference to the basis of the forecast being simulated
past performance.
A warning that forecasts are not reliable indicators of
future performance. - Answer-Future performance
estimates cannot be based on simulated past
performance.
Under the Terrorism Act 2000, when specifically should a
suspicion of terrorist activities be reported?
Without delay
Within 5 business days
By the next business day
As soon as reasonably practicable - Answer-The wording
of the Terrorism Act is 'as soon as reasonably practicable'.
When does the FCA publish details of a prohibition order?
After issuing a final notice
After issuing a warning
Once the FCA has notified the individual concerned and
the firm
,3|Page
Once the FCA has notified the individual concerned -
Answer-FCA penalties are effective once a final decision
notice has been issued. Publication takes place at that
point.
After issuing a final notice
For how long must records relating to pension transfers be
kept?
Six years
Five years
Three years
Indefinitely - Answer-Indefinitely (1 Mark)
Which of the following is not a 'disciplinary sanction'?
Financial penalty
Public censure
Statement of misconduct
, 4|Page
Withdrawal of approval - Answer-Withdrawal of approval
will be used when an individual is not fit and proper, and is
a 'protective' or 'remedial' sanction.
Which of the following will constitute money laundering?
Ramping prices
Disseminating false rumours about a company
Passing on price sensitive information used for dealing
Entering into a number of transactions to hide the source
of money - Answer-Option one and two are market abuse.
Option three is insider dealing (or market abuse). Option
four is money laundering.
The main aim of the UK Investment Firms Prudential
Regime (UK IFPR) is?
To focus the prudential requirements on the risks that the
firm faces and considers
To focus the prudential requirements on the risks that the
firm can pose to consumers and markets
