CISI Regulation and Compliance (UK)

It is a three-hour-and-fifteen-minute narrative examination. Section A is worth 30%, Section B requires two practical or problem-solving answers including one compulsory question and is worth 40%, and Section C requires two essays selected from four and is worth 30%.

No. Regulation and Compliance is the mandatory advanced unit in the three-unit Diploma route. Candidates must also satisfy the prerequisite and pass the other required regulatory and specialist units under the current CISI structure.

No. Global Financial Compliance is a separate Level 3 examination that may form part of the Diploma route. Regulation and Compliance is the Level 6 narrative unit with its own syllabus and written assessment.

The page follows Version 13.0, covering examinations from 25 November 2026 to 9 June 2027. Always check the latest official CISI syllabus and candidate updates for the year and sitting you plan to take.

The pass mark is variable. The official CISI Diploma factsheet states that it is never below 50%, so candidates should not treat 50% as a guaranteed fixed threshold for every sitting.

The course provides six study-chapter summaries, 148 reference items, 148 flashcards, five typed written-practice papers with server mark schemes and 300 answer-planning questions in five practice sets. The written papers follow the official Section A/B/C structure; the selected-response drills develop retrieval and scenario judgement. Neither reproduces or grades the official three-section written examination, and feedback is a practice estimate rather than an official grade.

Try the free written practice paper and type your answers in guided mode. The course includes 5 written practice papers. The 15 multiple-choice questions below support answer planning; they do not by themselves reproduce the official written assessment.