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CISI UK Financial Regulation · 1,026 Questions

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Most candidates who fail the CISI regulation exam did not fail because they had not read the material. They failed because reading is not the same as being tested on it.

MockSmith is the last mile. 1,026 CISI UK Financial Regulation practice questions across all four sections — each with full explanations for the correct answer and every wrong option.

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You have done the reading. MockSmith is what comes next — exam-condition questions that test whether you actually know it, not just whether you have seen it.
Every wrong answer explained
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Built for this exam
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Try a Sample Question

Select an answer to see the explanation.

Section 2 — Conduct of Business (COBS)

Under COBS, which of the following obligations is disapplied in its entirety when a firm deals with an Eligible Counterparty (ECP)?

Free Resources

How to Pass the CISI UK Financial Regulation Exam
A practical guide to what the exam covers, where candidates go wrong, and how to structure your preparation.
CISI UK Financial Regulation: Pass Rate and Difficulty
What is the real pass rate? Why does this exam catch more candidates than it should?
CISI Capital Markets Programme — What to Expect
From registration through to results — what the CMP actually involves and how to prepare.
FCA Principles for Businesses Explained
The 12 Principles explained — what each one means, including the Consumer Duty, and how they are tested.
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