Vulnerable Customers

The appropriate treatment of vulnerable customers is a key concern for regulators all over the world, in the financial services sector and beyond. Keeping these customers safe is both a regulatory requirement and a moral imperative, so firms must be proactive in identifying them and providing the best possible service.

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What are Professional Assessments?

Our newly developed Professional Assessments are short online self-learning courses that combine first-class content with a subject test and a formal certificate of achievement, in one simple cost-effective package.

Developed with practitioners and subject specialists, the Professional Assessments we offer contain only the most relevant and up to date material on key topics which affect the financial services sector today. Like our Professional Refresher e-learning modules and world-renowned examinations, Professional Assessments are completely flexible, so you can choose when to study and when to take the test.

What is the Vulnerable Customers Professional Assessment?

Protecting vulnerable clients has never been more important. Especially now. With increasing regulatory attention on vulnerable clients, it is important to do the right thing for your vulnerable clients.

This Professional Assessment will allow you to demonstrate your commitment to ensuring vulnerable clients are treated fairly with this self-learning and enhance your knowledge, skills and understanding of the key issues to consider when dealing with vulnerable clients.

Key features

Short course of online self-learning taken anytime and anywhere on any device with an assessment certificate when you pass

Covers all the fundamental information needed by practitioners working in financial services to identify and support vulnerable customers

Enhances understanding of all the key elements from a global perspective

Includes information from key regulators on duty of care responsibilities and external articles to support knowledge in this subject

Who should study the Vulnerable Customers Professional Assessment?

  • Wealth, Investment and Asset Managers
  • Financial Planners and Independent Financial Advisors
  • Those working in banking, insurance, exchanges and giving financial advice to customers
  • Those developing products and services for financial institutions
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Module content includes

Definitions and current research
Guidance and regulatory principles
Vulnerability and capability
Oversight and categorisation
Developing new products or services
Developing a robust policy
The role of communication
Importance of record keeping and GDPR considerations
Protecting consumers globally

Module structure

£58 for CISI Members
£68 for non-members

120 minutes study time, followed by a 60-minute test comprising 30 questions

Pass mark: 75%

Online – accessible anytime and anywhere

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Each purchase includes two attempts at the end of module test. After two unsuccessful attempts, subsequent tests will be at a reduced 50% rate.

Need help?

If you have any questions about Professional Assessments please contact our Customer Support team who will be happy to help:
 +44 20 7645 0777