Retail Advice and Regulation


The aim of the unit is to develop an understanding of the nature of the regulatory regime which governs the promotion and sale of retail investment products and the application of professional standards and judgement in establishing and maintaining client relationships, needs and priorities.

Study Manual Retail Advice and Regulation 2021

Below are your Revision Assignments for this unit, and a Study Timetable so that you can effectively plan your revision time.

We have now included the Assignment Notes, which are in effect the answer guides to your assignments so that you can 'self-check' your responses.

You are equally allowed to send your completed assignments to the PMI for marking, guidance or clarification to:

Once received we can pass this onto one of our tutors and they will get back in touch within 10 working days.

We provide the Assignments, Notes, (and Study Timetable), purely as aids to your revision - they will not constitute any element of your final mark.

ADRP Study timetable - Autumn 2021

RAR Assignment 1                    (RAR Assignment 1 Notes)

RAR Assignment 2                    (RAR Assignment 2 Notes)

RAR Assignment 3                    (RAR Assignment 3 Notes)

RAR Assignment 4                    (RAR Assignment 4 Notes)

RAR Mock Exam                        (RAR Mock Exam Notes