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3. Regulation of Financial Markets and Institutions

This class was created by Brainscape user ed stringer. Visit their profile to learn more about the creator.

By: ed stringer
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Decks in this class (14)

International and European Union Directives, Regulation and Guidance
Harmonising eu financial services...,
Harmonising eu financial services...,
Harmonising eu financial services...
23  cards
FCA BS: Investment Research
Investment research definition 1,
Investment research vs generic re...,
Arrangement for financial analysts 3
5  cards
FCA BS - Product Governance and Disclosure Requirements
Product governance manufacturers ...,
Packaged retail and insurance bas...,
Priip and kid 3
7  cards
FCS BS - Record Keeping and Reporting
Record keeping requirements 1,
Occasional reporting 2,
Periodic reporting 3
5  cards
FCA BS - Dealing and Managing
Best execution obligation 1,
Notion of reasonableness evaluati...,
Competing venues for retail clien...
8  cards
FCA BS - Identifying Client Needs
Suitability obligation 1,
Suitability assessment 2,
Suitability and type of client 4
13  cards
FCA BS - Financial Promotions
Fpo 2005 under the fsma 1,
Fpo 2005 main exemptions part iv 2,
Fpo 2005 part vi exemptions 3
23  cards
FCA BS - Client Categorisation
Definition of client and customer 1,
3 types of client 2,
Per se professional client 3
9  cards
UK Regulation
Financial conduct authority fca 1,
Scope of fca activities 2,
Prudential regulation authority p...
22  cards
FCA: Objectives and High Level Standards
Fca blocks of handbook hbrrsl 1,
Principals for business prin obje...,
Senior management arrangements sy...
21  cards
Regulation of Investment Exchange
Fca and recognised investment exc...,
Boe and financial market infrastr...,
Fca vs boe and meaning of recogni...
16  cards
FCA BS - Client Assets and Client Money Rules
Fiduciary duty 1,
Client money and custody assets c...,
Custody of client assets cass and...
20  cards
FCA Supervision and Redress
Fca supervision model three pilla...,
Fca conduct categories 2,
Fca power and appeal 3
9  cards
Financial Crime
Money laundering and poca 1,
Laundering process three stages 2,
Mlr 2017 3
18  cards

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3. Regulation of Financial Markets and Institutions

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