Free CISI UK Regulation & Professional Integrity mock exam
Sit the whole UK Regulation & Professional Integrity paper: 80 questions, scenario-led like the real exam, under a 120-minute clock. Free, no sign-up, with a weighted score and an explanation for every answer.
What is on the CISI UK Regulation & Professional Integrity mock exam?
One full UK Regulation & Professional Integrity practice paper: 80 questions in 120 minutes, weighted across the six syllabus elements exactly as the real paper is. Score 56 out of 80 to meet the 70% practice threshold, then review every answer one at a time.
- Questions
- 80 original practice questions
- Time
- 120 minutes
- Practice threshold
- 70%, which is 56 of 80
- Access
- Free, with no account or card
How the paper is weighted
UK Regulation & Professional Integrity is a compulsory core unit of the Level 4 Investment Advice Diploma, and also sits in the Level 4 Certificate in Investment Management and the Level 6 Diploma in Investment Compliance, which makes it the broadest-reach paper we cover.
| Element | Questions |
|---|---|
| 1. The UK Financial Services Sector & Regulatory Framework | 7 |
| 2. FCA Supervision, Governance & Consumer Duty | 11 |
| 3. Conduct of Business | 20 |
| 4. Legal Concepts, Integrity & Ethics | 15 |
| 5. Financial Crime & Market Abuse | 21 |
| 6. Complaints, Redress & Data Protection | 6 |
| Total | 80 |
Financial Crime & Market Abuse is the heaviest element at 21 of the 80 marks, with Conduct of Business at twenty and Legal Concepts, Integrity & Ethics at fifteen. Those three carry 56 of the 80. The regulatory framework element is seven marks and Complaints, Redress & Data Protection is six.
For the cleanest rehearsal, set aside the full 120 minutes, avoid notes and answer every question. There is no negative marking on the real paper, so a guess is always better than a blank. The mock hides feedback until submission and warns you before handing in a paper with blanks.
Full practice paper
75 questions. 90 minutes. No sign-up.
Sit the paper in one go if you can. Answers and explanations stay hidden until you submit, so the score is a more useful rehearsal than an instant-feedback quiz.
The timer starts when you press the button. Reloading or leaving the page ends this sitting.
Where the marks go on this paper
This paper reads differently from the rest of the catalogue. Where most CISI exams ask what a rule says, a large share of this one describes a situation and asks what you should do about it, so the marks go to candidates who can apply a rule rather than quote it.
Conduct of Business is twenty marks of detail: client categorisation, communications and financial promotions, suitability and appropriateness, best execution, and client assets. Retail, professional and eligible counterparty distinctions run through the whole element, and getting the category wrong usually makes the rest of the answer wrong too.
Financial Crime & Market Abuse at 21 marks combines money laundering, terrorist financing, bribery, insider dealing and market manipulation. The regulatory offences and the criminal offences are separate regimes and the paper expects you to keep them apart.
Element five is where the numbers live. Compensation and redress limits, reporting thresholds and time limits are precise, current figures, and a workbook edition that predates a change will hand you a confident wrong answer.
How to use your result
Treat 70% as a practice threshold, not a readiness promise. A stronger signal is a run of timed scores above the threshold with no element repeatedly falling behind. Because this paper leans on applying rules to described situations, a low element score usually means you know the rule but have not practised recognising it in a scenario. That gap closes with question practice specifically, not with more reading.
Use the answer review to understand each miss, then revisit the relevant part of the UK Regulation & Professional Integrity exam guide. To drill a single topic rather than sit a whole paper, start with the free UK Regulation & Professional Integrity practice questions.
Looking for official material? UK Regulation & Professional Integrity past papers: what actually exists explains what CISI actually publishes and how to combine it with question practice. For more full papers, see the £59 Pass Package.
Independent practice material: PasskeyPrep is not affiliated with, endorsed by or accredited by the Chartered Institute for Securities & Investment. These questions were written independently against the syllabus. They are not copied from a live CISI exam or official past paper.
Frequently asked questions
Is this UK Regulation & Professional Integrity mock exam really free?
Yes. All 80 questions are free to sit, with no account, email address or card. Submit and you get a weighted score, a six-element breakdown and a written explanation for every answer.
Does this mock match the real UKRPI exam format?
It uses 80 questions, a 120-minute timer, a 70% practice threshold and the published weightings across the six syllabus elements. The questions are original PasskeyPrep practice material, not the CISI examination platform or official exam questions.
Is this the same exam as UK Financial Regulation?
No. UK Financial Regulation is the 75-question Capital Markets Programme regulatory unit. UK Regulation & Professional Integrity is an 80-question Level 4 Investment Advice Diploma core unit with a wider syllabus and a heavier ethics and financial crime component.
Which qualifications use this unit?
It is a compulsory core unit of the Investment Advice Diploma, and it also appears in the Level 4 Certificate in Investment Management and the Level 6 Diploma in Investment Compliance.
Turn the element breakdown into a study plan.
Unlock the full UK Regulation & Professional Integrity question bank, more timed mocks, study notes, flashcards and weak-spot tracking as part of the £59 Pass Package.