This class was created by Brainscape user Helen Chua. Visit their profile to learn more about the creator.
By:
Helen Chua
- decks
- flashcards
- learners
Decks in this class (17)
Chapter 1: The UK Financial Services Sector
Which of the following is most li...,
You are an advisor to the governm...,
The uk government invests a large...
17
cards
Chapter 2: UK Financial Services and Consumer Relationships
Which of the following is false r...,
In the marketing ideal there is a...,
You are a financial advisor who o...
9
cards
Chapter 3: UK Contract and Trust Legislation
Jack if the financial advisor to ...,
Which of the following is not tru...,
Anthony wishes to set up a trust ...
9
cards
Chapter 4: Integrity and Ethics in Professional Practice
When considering the ethics vs co...,
The ethical principle to ensure t...,
Richard nixon is a senior private...
11
cards
Chapter 5: The Regulatory Infrastructure of the UK Financial Services
Which of the following is a statu...,
Which one of the following is a s...,
Which one of the following is con...
16
cards
Chapter 6: FCA and PRA Supervisory Objectives, Principles and Processes
Which of the following comes imme...,
The tax and chancery chamber of t...,
Representatives of the fca and pr...
12
cards
Chapter 7: FCA and PRA Authorisation of Firms and Individuals
Which of the following is not a p...,
Which of the following is true of...,
Which of the following is a regul...
23
cards
Chapter 8: The Regulatory Framework Relating to Financial Crime
Which of the following are true r...,
Which of the following would not ...,
Which of the following is not tru...
19
cards
Chapter 9: Complaints and Redress
If a firm receives a complaint wi...,
The fca requires that firms maint...,
To whom is the financial service ...
9
cards
Chapter 10: Conduct of Business and Client Money Protection
When must a firm disclose charges...,
In order to gain favourable terms...,
If the firm aggregates a client s...
61
cards
IAD Level 1 - Mock 1
The fca acting as the competent a...,
Which of the following is true in...,
Frank is worried about the risk p...
16
cards
IAD Level 1 - Mock 2
Gertrude humphery has just joined...,
1054527 rachel brown a director o...,
With respect to all designated in...
36
cards
IAD Level 1 - Mock 3
Which of the following is least l...,
Which clients need to have the mo...,
What happens when a specific inst...
25
cards
IAD Level 1 - Mock 4
Where a firm becomes aware of a c...,
What is the main objective of the...,
The fca is pursuing an investigat...
26
cards
IAD Level 1 - Mock 5
Two firms offer services to a cli...,
A government may wish to keep its...,
Which of the following would alwa...
28
cards
IAD Level 1 - Mock 6
The government allows the exchang...,
An investor receives four financi...,
What is the purpose of perg 2 a i...
23
cards
IAD Level 1 - End of Book Mock
The fca s approach to the prevent...,
Which of the following is correct...,
The fca rules regarding the recor...
29
cards
More about
IAD Level 1
- Class purpose General learning
Learn faster with Brainscape on your web, iPhone, or Android device. Study Helen Chua's IAD Level 1 flashcards now!
How studying works.
Brainscape's adaptive web mobile flashcards system will drill you on your weaknesses, using a pattern guaranteed to help you learn more in less time.
Add your own flashcards.
Either request "Edit" access from the author, or make a copy of the class to edit as your own. And you can always create a totally new class of your own too!
What's Brainscape anyway?
Brainscape is a digital flashcards platform where you can find, create, share, and study any subject on the planet.
We use an adaptive study algorithm that is proven to help you learn faster and remember longer....
Looking for something else?
Securities - IAD
- 7 decks
- 137 flashcards
- 3 learners
Decks:
Company Financial Statements, Equations, Equations 2, And more!
