Regulatory Exam Prep

Practice for SFC, FCA, FINRA, and other regulatory exams with AI-graded questions, detailed feedback, and a personalised gap analysis.

What it does

The Regulatory Exam Prep app helps compliance officers and other staff prepare for professional regulatory licensing exams. Candidates work through practice questions drawn from the relevant regulatory syllabus; answers are graded by the AI with detailed feedback that references the specific rule or principle the question tests.

Rather than just telling a candidate they got a question wrong, the platform explains why — citing the relevant section of the SFC licensing examination, FCA CISI syllabus, or FINRA Series content — and identifies which topics to prioritise in further study.

Key capabilities

• Exam-specific question banks. Covers SFC Licensing Examinations (Papers 1–12), FCA/CISI regulatory qualifications, and FINRA Series exams. Question banks are updated as syllabuses change.
• AI-graded open responses. For scenario-based questions, written responses are graded against a marking rubric grounded in the relevant regulatory standard.
• Per-question feedback. Every answer — correct or incorrect — is accompanied by an explanation referencing the rule or principle involved.
• Gap analysis. After each practice session, the platform shows which topic areas need more work, ranked by frequency of error.
• Progress tracking. Track improvement over time by topic and overall readiness score.
• Team use. Compliance managers can assign exam prep modules to staff with upcoming licensing deadlines and monitor progress.

Supported exams

SFC Licensing Examinations (HK) — Papers 1, 2, 3, 6, 7, 8, 9, 12 | FCA / CISI qualifications (UK) | FINRA Series 7, 24, 65, 66 (US) | MAS Representative Notification Framework (SG)