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By:
Simon Large
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Decks in this class (11)
Chapter One: The UK Financial Services Industry: An Overview
What do banks do with the money t...,
Who issues gilts,
What is the primary function of a...
32
cards
Chapter Two: Serving the Retail Customer
List the 3 types of expenditure,
What is the definition of a mortgage,
What is debt consolidation
67
cards
Chapter Three: Laws & Legal Concepts
What is a sole trader,
What are the tax liabilities of a...,
Is a partner of a firm liable for...
24
cards
Chapter Four: The Regulation of the Financial Services
Following the implementation of t...,
Following the disbanding of the f...,
What are the two core purposes of...
20
cards
Chapter Five: Responsibilities and Approach to Regulation
What is the three characteristics...,
What is the purpose of the fpc,
What are the two pra s key object...
48
cards
Chapter Six: The FCA Handbook
What is the fca handbook,
What are the high level standards...,
What are the principles for busin...
38
cards
Chapter Seven: Core Regulatory Principles and Rules
What is section 19 s19 under the ...,
What is the maximum penalty for a...,
When does grandfathering not apply
32
cards
Chapter Eight: The Regulatory Advice Framework
0
cards
Chapter Nine: Client Advising Skills
What key information must be give...,
What is the information sheet pro...,
What policy information should a ...
16
cards
Chapter Ten: The FCA's Use of Principles and Outcomes-Based Regulation
What are the 11 fca prin s princi...,
If a firm fails to be able to dem...,
Describe outcome based regulation...
15
cards
Chapter Eleven: Ethics and Professional Standards
What are the five developments in...,
What professional standards did r...,
What are the four components of a...
9
cards
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