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Vemula Shravya
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Decks in this class (26)
Regulation Of Investment Exchanges And Clearing Houses
Briefly explain what ries are 1,
Briefly explain what the role of ...,
How does the bank of england regu...
9
cards
The London Stock Exchange
What are the roles and responsibi...,
Expand in further detail on the t...,
The london stock exchange provide...
3
cards
Ice Future Europe And Ice Clear Europe
Explain the roles and responsibil...,
What are the two main types of in...
2
cards
Regulation Of Derivatives Markets
Briefly explain the concept of de...,
What are the main features of tra...,
What can be traded on ice futures...
14
cards
Accepting Customers For Business (Client Categorisation)
According to the fca handbook wha...,
Before conducting investment busi...,
What is the need for eu mifid to ...
16
cards
Financial Promotions And Other Communications With Customers, Including Information About The Firm
What is a financial promotion 1,
Under section 21 of fsma what is ...,
Promotion of controlled activitie...
18
cards
Financial Promotion Of High-Risk Investments
What was the main motivation for ...,
What are readily realisable secur...,
What are restricted mass market i...
4
cards
Financial Promotions Regime For Cryptoassets
What is a qualifying cryptoasset 1,
What are some of the rules and re...
2
cards
Direct Offer Financial Promotions
What does a direct offer financia...,
When a firm makes a direct offer ...
2
cards
Cold Calls And Other Non-Written Promotions
What is a cold call 1,
A firm cannot make a cold call un...,
What are the conditions for when ...
4
cards
Financial Promotions Through Social Media
Briefly explain the concept aroun...,
The fca notes the use of memes by...
2
cards
Investment Adviser Charging And Remuneration
What are some of the main concept...,
What does cobs 61 b9 say about th...,
Blank 3
4
cards
Inducements
Briefly explain what inducements ...,
Under mifid ii what is the ban on...,
What is the difference between in...
7
cards
Fund Manager Charges
Briefly explain what fund manager...,
Briefly explain what ocf ongoing ...,
In response to weak competition i...
3
cards
FCA anti-Greenwashing Rule
Briefly explain what the fca anti...,
In may 2024 fca implemented a new...,
What is the fca guidance around a...
3
cards
Identifying Client Needs (Suitability And Appropriateness)
What is the assessment of suitabi...,
Explain the importance of the sui...,
What cannot be assumed with retai...
15
cards
Dealing And Managing
Briefly explain the concept of be...,
Best execution obligation 2,
Briefly explain what the order ex...
11
cards
Investment Research
What is investment research 1,
For any information to be conside...,
When is analysis considered inves...
10
cards
Product Governance And Disclosure Requirements
Briefly explain what product gove...,
Define what a manufacturer and a ...,
Under the prod what are the oblig...
20
cards
Fca Sustainability Disclosure Requirements (SDR) And Investment Labelling Regime
Briefly explain what sustainabili...,
The sustainability disclosure req...,
The sustainability labels set by ...
10
cards
FCA’s Approach To Temporary Product Intervention
Briefly explain fca s approach to...,
What are tpirs 2,
Why use tpirs instead of regular ...
6
cards
Record Keeping And Reporting Information
What are the three main record ke...,
What are the years for the differ...,
Briefly explain the concept of oc...
13
cards
Client Assets And Client Money Rules
Fiduciary duty briefly explained ...,
The fca s client assets sourceboo...,
What are the three types of cass ...
27
cards
Reconciliation Of Client Money
Reconciliation of client money 1,
Reconciliation of client money 2,
Reconciliation of client money 3
9
cards
Mandated Accounts
Mandated accounts briefly explain...,
Mandated accounts what are the di...,
Mandated accounts how can a manda...
4
cards
Title Transfer Collateral Arrangements
Title transfer collateral arrange 1,
What is the risk of ttca in the e...,
What are the rules for ttca s und...
5
cards
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Chapter 3.4 - 3.5. The Regulation Of Financial Markets And Institutions
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