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LEVEL 6 Regulation and Compliance

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

By: Rachel Brooker
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Decks in this class (17)

REGULATORY FRAMEWORK
What is the financial services an...,
When was fsma amended 2,
When was fsma amended further 3
79  cards
GLOSSARY
Aggregation 1,
Allocation 2,
Appointed representative 3
94  cards
Regulatory Framework - European Regulation
Aims of having a single market 1,
The european commission 2,
European parliament 3
5  cards
PRA RULEBOOK AND FCA HANDBOOK OF RULES AND GUIDANCE
Financial policy committee fpc 1,
What is the fca s strategic objec...,
Fca operational objectives 3
128  cards
EXAM PAPER QUESTIONS
3 types of client categorisation ...,
What is the role of the mlro 2,
The 6 types of conduct that used ...
79  cards
CRYPTOASSETS
How to define a cryptoasset 1,
The fca 2019 publication on crypt...,
Fca publication on crypto 2020 3
12  cards
CASS
Cass 6 1,
Cass 7 2,
What institutions can client mone...
28  cards
FCA APPROACH TO SUPERVISION
What does section 20 of fsma deta...,
Section 44 of fsma 2,
What should a firm do if it is se...
31  cards
Complaints
Who are eligible complainants 1,
What must a firm assess when rece...,
Who does complaint root analysis 3
22  cards
REGULATORY GUIDES
Perimeter guidance manual 1,
Perimeter report 2021 22 2,
Whistleblowing 3
7  cards
OTHER REGULATED SYSTEMS
Outline the uk primary market fun...,
What is the lse made up of 2,
What are the three sourcebooks fo...
73  cards
UK MARKET ABUSE REGULATION (MAR)
What was the impact of brexit on ...,
What is the scope of mar 2,
What is the definition of a finan...
40  cards
MONEY LAUNDERING
What rules and regulations in rel...,
How did sopca amend poca 2,
What are the five offences under ...
36  cards
BRIBERY ACT
Bribery act 2010 1,
What are the 6 principles to prev...
2  cards
DATA PROTECTION
What is the data protection act 1,
Data protection act 2018 2,
The dpa 2018 principles 3
11  cards
REGULATION OF MARKETS AND EXCHANGES
List of recognised investment exc...,
Roie 2,
Recognised clearing houses 3
28  cards
UK REGULATORY DEVELOPMENTS
What are the four commitments of ...,
Three themes of the fca business ...,
Pra business plan 2023 24 3
8  cards

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LEVEL 6 Regulation and Compliance

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