Home

  • CII Exams
    • AF Exams
    • CII AF1 Personal Tax and Trust Planning
    • CII AF4 Investment Planning
    • CII AF5 Financial Planning Process
    • CII AF7 Pension Transfers
    • CF Exams
    • CII CF1 UK Financial Services, Regulation and Ethics
    • CII CF6 Mortgage Advice
    • CII CF8 Long Term Care Insurance
    • ER Exams
    • CII ER1 Equity Release
    • FA Exams
    • CII FA1 Life Office Administration
    • CII FA2 Pensions Administration
    • IF Exams
    • CII IF1 Insurance Legal and Regulatory
    • CII IF2 General Insurance Business
    • CII IF3 Insurance Underwriting Process
    • CII IF4 Insurance Claims Handling Process
    • CII IF5 Motor Insurance Products
    • J0 Exams
    • CII J02 Trusts
    • CII J05 Pension Income Options
    • CII J07 Supervision in a Regulated Environment
    • CII J10 Discretionary Investment Management
    • CII J12 Securities Advice and Dealing
    • LP Exams
    • CII LP2 Financial Services Products and Solutions
    • R0 Exams
    • CII R01 Financial Services, Regulation and Ethics
    • CII R02 Investment Principles and Risk
    • CII R03 Personal Taxation
    • CII R04 Pensions and Retirement Planning
    • CII R05 Financial Protection
    • CII R06 Financial Planning Practice
    • CII R07 Advanced Mortgage Advice
  • CII Qualifications
    • CII Qualifications Overview
    • Advanced Diplomas
    • CII Advanced Diploma in Financial Planning
    • Awards
    • CII Award in Financial Administration
    • CII Award in Life and Pensions Foundations
    • CII Award in Long Term Care Insurance
    • CII Award in Regulated Pension Transfer Advice
    • Certificates
    • CII Certificate in Advanced Mortgage Advice
    • CII Certificate in Discretionary Investment Management
    • CII Certificate in Equity Release
    • CII Certificate in Financial Services
    • CII Certificate in Insurance
    • CII Certificate in Investment Operations
    • CII Certificate in Mortgage Advice
    • CII Certificate in Paraplanning
    • CII Certificate in Regulated Financial Services Operations
    • CII Certificate in Securities Advice and Dealing
    • Diplomas
    • CII Diploma in Financial Planning
    • CII Diploma in Regulated Financial Planning
  • Main Pages
  • Home
  • Blog
  • Corporate
  • FAQ
  • About
  • Contact
  • Home
  • Blog
  • Corporate
  • FAQs
  • About
  • Contact
Cart
Brand Financial Training
  • CII Exams
    • Exam-Col-01
      • AF Exams
      • CII AF1 Personal Tax and Trust Planning
      • CII AF4 Investment Planning
      • CII AF5 Financial Planning Process
      • CII AF7 Pension Transfers
      • CF Exams
      • CII CF1 UK Financial Services, Regulation and Ethics
      • CII CF6 Mortgage Advice
      • CII CF8 Long Term Care Insurance
      • ER Exams
      • CII ER1 Equity Release
      • FA Exams
      • CII FA1 Life Office Administration
      • CII FA2 Pensions Administration
    • Exam-Col-02
      • IF Exams
      • CII IF1 Insurance Legal and Regulatory
      • CII IF2 General Insurance Business
      • CII IF3 Insurance Underwriting Process
      • CII IF4 Insurance Claims Handling Process
      • CII IF5 Motor Insurance Products
      • J0 Exams
      • CII J02 Trusts
      • CII J05 Pension Income Options
      • CII J07 Supervision in a Regulated Environment
      • CII J10 Discretionary Investment Management
      • CII J12 Securities Advice and Dealing
      • LP Exams
      • CII LP2 Financial Services Products and Solutions
    • Exam-Col-03
      • R0 Exams
      • CII R01 Financial Services, Regulation and Ethics
      • CII R02 Investment Principles and Risk
      • CII R03 Personal Taxation
      • CII R04 Pensions and Retirement Planning
      • CII R05 Financial Protection
      • CII R06 Financial Planning Practice
      • CII R07 Advanced Mortgage Advice
      • Study Kit Box
  • CII Qualifications
    • Qual-Col-01
      • CII Qualifications Overview
      • CII Advanced Diploma in Financial Planning
      • CII Award in Financial Administration
      • CII Award in Life and Pensions Foundations
      • CII Award in Long Term Care Insurance
      • CII Award in Regulated Pension Transfer Advice
    • Qual-Col-02
      • CII Certificate in Advanced Mortgage Advice
      • CII Certificate in Discretionary Investment Management
      • CII Certificate in Equity Release
      • CII Certificate in Financial Services
      • CII Certificate in Insurance
      • CII Certificate in Investment Operations
      • CII Certificate in Mortgage Advice
      • CII Certificate in Paraplanning
      • CII Certificate in Regulated Financial Services Operations
      • CII Certificate in Securities Advice and Dealing
    • Qual-Col-03
      • CII Diploma in Financial Planning
      • CII Diploma in Regulated Financial Planning
Brand Financial Training > Diploma Level Exams > The CII J07 April 2019 Exam in Review
  • Previous
  • Next
The CII J07 April 2019 Exam in Review
July 30, 2019
The CII J07 April 2019 Exam in Review

The CII J07 April 2019 Exam in Review

Posted by The Team at Brand Financial Training on July 30, 2019 in Diploma Level Exams, Exam Paper Reviews, J07
Last updated on September 25th, 2019 at 4:14 am
Title Image: The CII J07 April 2019 Exam in Review

Here, we are looking at the CII J07 April exam: Supervision in a regulated environment. This review of the question paper from April will help you to highlight areas that will need more focused revision.

You can find the exam guide here.

As with the other written Diploma in Financial Planning papers, two hours are given to answer 15 short-answer questions for a total of 130 marks.  Compared with the J05 paper, the questions in this exam can be much more succinct, so less time is needed to read the question before being able to start an answer.

Question 1

The exam started with having to state three key features of indirect supervision and three methods of indirect supervision – quite a nice start to the exam.

Question 2

This question tested Herzberg’s hygiene and motivation factors and asked for six motivators and then asked candidates to define hygiene factors and explain their impact on job satisfaction.  The question gave a total of nine marks.

Question 3

The exam continued with a two-part question; the first part asked for an explanation of the consumer awareness rules in relation to complaints handling (for six marks) and for a further five marks, the information that must be reported through GABRIEL.

Question 4

This question seemed to drift into other exam syllabus territory by asking the key factors that determine whether someone is an employee (for seven marks) and three characteristics an employed adviser might demonstrate.

Question 5

Overall, there were 11 marks for this question, which tested key areas of a T&C scheme, including the ways in which a scheme helps supervisors fulfil their duties.

Question 6

Next, we had a three-part question: firstly, an explanation of a training needs analysis; then the differences between organisation and individual training needs and finally two examples of organisational and individual factors that have an impact on training needs.

Question 7

This tested development needs with a small question, for two marks, to list the benefits of documenting a structured development plan and then for seven marks, the stages of a structured development plan.

The last exam paper for #CII #J07 covered a variety of topics, and as you can see, did yet again vary between the last two papers. Share on X

 

Question 8

Call monitoring systems were tested in this question, including how they can be used by an employer and three marks for stating the purpose of observation aids.

Question 9

For eight marks, candidates were asked to state the principles that staff performing a ‘significant harm’ function must adhere to, and then state the purpose of the conduct rules for staff performing such a function.

Question 10

This question tested DPR: firstly, seven examples of sensitive personal data and then two requirements companies must follow to make sure individuals understand how their data is processed.

Question 11

This question was a three-part question and asked for the main areas of focus for corporate objectives, four areas of focus for individual objectives and finally an explanation of the purpose of CSR in relation to business strategy.

Question 12

This was a nice straightforward question, which asked candidates to list six performance-related KPIs for a financial adviser.

Question 13

This question tested management information for an overall score of eight marks; candidates had to explain the limitations of only receiving MI covering company income and compliance, and then state other types of MI a director should receive.

Question 14

Another 3-part question: firstly, candidates had to define unsatisfactory performance, provide examples and finally describe types of management intervention used to deal with it.  Overall, this question gave 12 marks.

Question 15

The final question asked for seven grounds for dismissal that would be deemed automatically unfair (excluding sex, age and trade union membership).

Comparison with October 2018’s Paper

Let’s compare this with the paper sat by candidates in October last year which can be found here.

  • Role of an overseer/main exceptions from the T & C rules that apply to them
  • Hersey and Blanchard situational leadership model
  • Organisation barriers when proposing significant changes to business strategy
  • Thomas-Kilmann Conflict Mode Instrument
  • The application process for an approved person
  • The role of business conferences as a method of communication
  • Validation of learning/methods to validate sales training learning
  • Coaching
  • Mandatory and desirable adviser actions at initial contact with a client
  • Verification requirements and risk
  • Effective management information
  • Talent management and ISO 22222
  • Employee suspected of committing fraud
  • Human Rights Act 1999 legislation

The range of topics within J07 is wide, and as you can see, did yet again vary between the last two papers. This demonstrates that future students should spend time studying as many past exam papers as they can get hold of, as questions will be repeated over time.   The annual pass rate for J07 in 2018 was 53.26% which, although one of the lowest pass rates for a written J0 paper, is the highest rate of the last 5 years of J07 sittings.

Grab the resources you need!

If you’re studying for your CII J07 exam, and you want to be fully prepared, grab our free taster to try out one of Brand Financial Training’s resources for yourself.  Click the link to download the J07 mock paper taster now!

Click here to download our free taster mock paper for CII J07

 

Tags:CII J07 past exam papers, review of the April 2019 J07 exam paper

Related posts

  • The CII J07 February 2025 Exam in Review
    The CII J07 February 2025 Exam in Review
  • The CII J07 September 2024 Exam in Review
    The CII J07 September 2024 Exam in Review
  • The CII J07 February 2024 Exam in Review
    The CII J07 February 2024 Exam in Review
  • The CII J07 September 2023 Exam in Review
    The CII J07 September 2023 Exam in Review

Subscribe

Get new blog posts delivered straight to your inbox!

By ticking this box you are giving your consent for us to email you when a new post is published on our blog. We may also email you with additional information and offers that we believe may be of interest to you. We take your privacy very seriously and we will never share your personal information. You can unsubscribe from our emails at any time. For information about how we handle your data, please read our privacy notice.

Please tick the box to give your consent for us to email you when a new post is published on our blog. We may also email you with additional information and offers that we believe may be of interest to you. We take your privacy very seriously and we will never share your personal information. You can unsubscribe from our emails at any time. For information about how we handle your data, please read our privacy notice at https://brandft.co.uk/privacy-policy/

Search

To search our blog just enter a keyword and click search.

Latest Posts

  • Friday Five Focus on Regulation – 5 Questions in 5 Minutes – 18 Jul 2025
    By The Team at Brand Financial Training
    July 18, 2025
  • National Insurance Employment Allowance
    By The Team at Brand Financial Training
    July 15, 2025
  • Friday Five Focus on Protection – 5 Questions in 5 Minutes – 11 Jul 2025
    By The Team at Brand Financial Training
    July 11, 2025
  • Chargeable Events on Bonds Held in Trusts
    By The Team at Brand Financial Training
    July 8, 2025

Follow us

Categories

Archives


All content © Brand Financial Training Ltd, 2008-2024. Unauthorised use and/or duplication of this material without express and written permission from this blog’s author and/or owner is strictly prohibited.

Excerpts and links may be used, provided that full and clear credit is given to Brand Financial Training Ltd https://brandft.co.uk with appropriate and specific direction to the original content.

Contacts

Email :
Tel : +44 (0)345 680 1682
You can leave a voicemail for us but for the quickest response, please email our customer service team at the above email address, who will respond within 24 hours.

Calls are charged at the same rate as standard landline numbers. This rate will depend on your telephone provider and may be included in your tariff.

Newsletter

Stay up to date with our informative monthly newsletter tailored for you.

Learn more

We write for...

Logo: Money Marketing Logo: Professional Paraplanner Professional Paraplanner Awards 2021
Learn more

We support...

In Aid of Trussell Trust The Clothing Bank
Find out more about how we work to make a social impact.
Learn more

Home
About
Blog
Contact
Social Impact

Money back guarantee
Corporate
Help and FAQs
Learning Resource Updates

Email :
Tel : +44 (0)345 680 1682 (Voicemail only)

Calls are charged at the same rate as standard landline numbers. This rate will depend on your telephone provider and may be included in your tariff.

LinkedInLinkedInTwitter/XTwitter/X YouTubeYouTubeYouTubeYouTube

©2025 Brand Financial Training Ltd · Reg No: 7153959 · VAT No: 979 2499 45

Policies | Terms of use | Terms of sale | Privacy policy | Cookie policy