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IMC IE Chapter 3

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

By: Serena Asante
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Decks in this class (9)

IMC Chapter 3 - 3.1 - Contextual Points
Which firms do the conduct of bus...,
Who are the promotion rules appli...,
What does the term designated inv...
11  cards
IMC Chapter 3 - 3.2 - Client Categorisation
Name the 3 categories of clients 1,
Define what is meant by consumer 2,
Define what is meant by customer 3
33  cards
IMC Chapter 3 - 3.3 - Communicating with clients, including financial promotions
What sources of regulation make u...,
What is a financial promotion 2,
What does section 21 fsma 2000 do 3
25  cards
IMC Chapter 3 - 3.4 - Product disclosures
What is the aim of the product go...,
Define a packaged retail investme...,
Define insurance based products 3
25  cards
IMC Chapter 3 - 3.5 - Firm Information
List the 6 types of information a...,
What is the name of the document ...,
Name the 5 things a firm must pro...
5  cards
IMC Chapter 3 - 3.6 - Client agreements and suitability
What do the cob rules describe a ...,
When is a client agreement requir...,
When is a client agreement not re...
16  cards
IMC Chapter 3 - 3.7 - Appropriateness (for non-advised services)
Who do the rules on appropriatene...,
Name the 2 circumstances in which...,
What happens if a client asks the...
29  cards
IMC Chapter 3 - 3.8 - Reporting Info to Clients/ Client Assets / Record Keeping
When must a firm send the relevan...,
List 5 things which count as esse...,
What is the timing of periodic st...
37  cards
Chapter 3 - Quick Ref cards
Quick reference 1
1  cards

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IMC IE Chapter 3

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