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CII: R01 2020-21

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

By: Lucie Sudworth
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Decks in this class (9)

1 - The UK Financial Services Industry: An Overview
What function do banks and buildi...,
What do governments use to fund i...,
What is the principle of insuranc...
24  cards
2 - Serving the retail consumer
Disposable income,
Unstructured loans,
Structured loans
24  cards
3 - Laws and Legal concepts relevant to financial advice
Sole trader,
Traditional partnership,
Unincorporated business
29  cards
4 - The Regulation of Financial Services
What was the objective of the fsma,
What major change came under the ...,
What are the uk s financial autho...
22  cards
5 - Responsibilities and Approach to Regulation
Fca three operational objectives,
Fca eight regulatory principles,
Part 4a permission
38  cards
6 - The FCA Handbook
The threshold conditions,
Cond 22,
Cond 23
20  cards
8 - The regulatory advice framework
What are the fca principles for b...
1  cards
11 - Ethics and Professional Standards
What were the primary objectives ...,
Real time vs non real time promotion,
What are exempt from client agree...
7  cards
7 - Core Regulatory Principles and Rules
Exemptions to initial disclosure,
Fca record keeping requirements
2  cards

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CII: R01 2020-21

  • Class purpose General learning

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