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  • The FCA's Conduct of Business and Client Assets Sourcebooks
    The FCA's Conduct of Business and Client Assets Sourcebooks

    The FCA's Conduct of Business and Client Assets Sourcebooks

    By: Joseph Adams
    1.) Application and General Provisions of COBS, 1.2) Firms Subject to COBS, 1.3) Activities Subject to COBS
    11
    Decks
    73
    Flashcards
    1
    Learner
  • Chapter 10 - FCA and PRA conduct of Business, Fair Treatment and Client Money protection
    Chapter 10 - FCA and PRA conduct of Business, Fair Treatment and Client Money protection

    Chapter 10 - FCA and PRA conduct of Business, Fair Treatment and Client Money protection

    By: Luke O'Mahoney
    Client Categorisation, COBS, Financial Promotions rules
    8
    Decks
    60
    Flashcards
    1
    Learner
  • FC - A + E
    FC - A + E

    FC - A + E

    By: Fu Chuen
    Trauma, Paracetamol poisoning, SBA
    4
    Decks
    18
    Flashcards
    1
    Learner
  • Family Court (Senior Court Clerk)
    Family Court (Senior Court Clerk)

    Family Court (Senior Court Clerk)

    By: Jennifer Lloyd
    FCA Article 1, FCA Article 2, FCA Article 3
    18
    Decks
    279
    Flashcards
    102
    Learners
  • Ro1 Regulations And Ethics Of The Finanacial System
    Ro1 Regulations And Ethics Of The Finanacial System

    Ro1 Regulations And Ethics Of The Finanacial System

    By: Jacques Sheppard
    RO1 EEA Rules, The Context for The UK Financial Services, Consumers Needs And How To Meet Them
    14
    Decks
    1,180
    Flashcards
    1
    Learner
  • FSRE - Josh
    FSRE - Josh

    FSRE - Josh

    By: Josh Freire-Mckinnell
    Topic 1 - The role and structure of financial markets, Topic 2 - The role of the Government, Topic 3 - Meeting customers needs and priorities
    18
    Decks
    407
    Flashcards
    66
    Learners
  • 1. SBA & MCQ
    1. SBA & MCQ

    1. SBA & MCQ

    By: Abongile Vanda
    MCQ 1, MCQ 2, MCQ 3
    54
    Decks
    2,430
    Flashcards
    2
    Learners
  • Family Court Act 2022
    Family Court Act 2022

    Family Court Act 2022

    By: Emily Monsees
    FCA Quiz Article 3, FCA Quiz Article 4, FCA Quiz Articles 1 & 2
    6
    Decks
    256
    Flashcards
    3
    Learners
  • Financial Markets And institutions
    Financial Markets And institutions

    Financial Markets And institutions

    By: Theo McKibbin Malins-Smith
    1.0 - Financial Markets And institutions, Key Terms And Figures, Ethics And Investment Professionalism
    14
    Decks
    777
    Flashcards
    29
    Learners
  • IMC Chapter 3
    IMC Chapter 3

    IMC Chapter 3

    By: Emily Havers
    MiFID/ MiFID II/ MiFIR, UCITS Directive/ AIFMD/ Additional, UK Regulation
    19
    Decks
    340
    Flashcards
    12
    Learners
  • R01 Jan 2020
    R01 Jan 2020

    R01 Jan 2020

    By: Jennifer Barker
    The Uk Financial Services Industry, Serving the retail customer, Laws & legal concepts relevant to financial advice
    13
    Decks
    514
    Flashcards
    36
    Learners
  • R01
    R01

    R01

    By: James Drugnick
    R01 1st deck, R01 Legal Persons, R01 The FCA Handbook 1
    7
    Decks
    151
    Flashcards
    1
    Learner
  • R01 2023
    R01 2023

    R01 2023

    By: Chelsee de Niet
    The UK financial Services Industry, Serving The Retail Customer, Laws And Legal Concepts Relevant To Financial Advice
    12
    Decks
    292
    Flashcards
    8
    Learners
  • UK Financial Regulation
    UK Financial Regulation

    UK Financial Regulation

    By: Matthew MacKinnon
    The Regulatory Environment, The Financial Services and Markets Act 2000 & Financial Services Act 2012, Associated Legislation and Regulation
    7
    Decks
    475
    Flashcards
    102
    Learners
  • UK Regulation
    UK Regulation

    UK Regulation

    By: Breeze On
    The UK Financial Services Sector (2/80), UK Financial Services and Consumer Relationships (4/80), UK Contract and Trust Legislation (2/80)
    10
    Decks
    471
    Flashcards
    6
    Learners
  • Cemap 1 Unit 2
    Cemap 1 Unit 2

    Cemap 1 Unit 2

    By: Kelly Court
    FCA Principles For Business, The FCA's 6 Outcomes, FCA's Powers
    4
    Decks
    24
    Flashcards
    16
    Learners
  • LEVEL 6 Regulation and Compliance
    LEVEL 6 Regulation and Compliance

    LEVEL 6 Regulation and Compliance

    By: Rachel Brooker
    REGULATORY FRAMEWORK, GLOSSARY, Regulatory Framework - European Regulation
    17
    Decks
    683
    Flashcards
    2
    Learners
  • 3. Regulation of Financial Markets and Institutions
    3. Regulation of Financial Markets and Institutions

    3. Regulation of Financial Markets and Institutions

    By: ed stringer
    International and European Union Directives, Regulation and Guidance, FCA BS: Investment Research, FCA BS - Product Governance and Disclosure Requirements
    14
    Decks
    199
    Flashcards
    3
    Learners
  • CISI UK Financial Regulations
    CISI UK Financial Regulations

    CISI UK Financial Regulations

    By: Bethan Parfitt
    1. The Regulatory Environment, 2. The Financial Services and Markets Act 2000 and Financial Services Act 2012, 3. Associate Legislation and Regulation
    6
    Decks
    797
    Flashcards
    143
    Learners
  • Delta
    Delta

    Delta

    By: Andrew Vermette
    ACC-DFW, Reverse ACC-DFW, DEN-JNB
    10
    Decks
    260
    Flashcards
    6
    Learners
  • RO1 Feb 2021
    RO1 Feb 2021

    RO1 Feb 2021

    By: Emma Layton
    Financial Services Regulation & Ethics, Lifetime ISA, Legal Concepts and Regulation
    7
    Decks
    628
    Flashcards
    20
    Learners
  • Senior Court Clerk Practice Test
    Senior Court Clerk Practice Test

    Senior Court Clerk Practice Test

    By: Jennifer Lloyd
    Practice Test (CPLR, CPL, FCA)
    1
    Decks
    56
    Flashcards
    2
    Learners
  • R01 Study
    R01 Study

    R01 Study

    By: Simon Large
    Chapter One: The UK Financial Services Industry: An Overview, Chapter Two: Serving the Retail Customer, Chapter Three: Laws & Legal Concepts
    11
    Decks
    301
    Flashcards
    13
    Learners
  • R01 CS
    R01 CS

    R01 CS

    By: Charlotte Scott
    Protection & Insurance, Types Of Client & Business, Regulatory Advice Process
    15
    Decks
    219
    Flashcards
    3
    Learners
  • Physiology for Anaesthetists
    Physiology for Anaesthetists

    Physiology for Anaesthetists

    By: Charles Pryce
    Cell biology, General organization of the body, Genetics and Ageing
    61
    Decks
    1,719
    Flashcards
    7
    Learners
  • Chapter 3 - Regulation of financial markets and institutions
    Chapter 3 - Regulation of financial markets and institutions

    Chapter 3 - Regulation of financial markets and institutions

    By: Tunji Adeniyi
    3.2: UK REGULATION, 3.3: FCA: OBJECTIVES AND HIGH-LEVEL STANDARDS, 3.4: REGULATION OF INVESTMENT EXCHANGES
    7
    Decks
    99
    Flashcards
    1
    Learner
  • M80
    M80

    M80

    By: Shani higgs
    Regulatory:PRA & FCA, Regulatory 2: Commercial And Legislative Aspects, 4: Statistical Data
    6
    Decks
    134
    Flashcards
    32
    Learners
  • UK Regulation
    UK Regulation

    UK Regulation

    By: Ella Statham
    Regulatory Environment, FSMA 2000 And FSA 2012, Associated Legislation And Regulation
    6
    Decks
    406
    Flashcards
    2
    Learners
  • UK FINANCIAL REGULATION
    UK FINANCIAL REGULATION

    UK FINANCIAL REGULATION

    By: Ma Sha
    All definitions, OTHER DIRECT INVESTMENTS, COLLECTIVE INVESTMENTS
    18
    Decks
    288
    Flashcards
    120
    Learners
  • Family Court Act
    Family Court Act

    Family Court Act

    By: Steve Blank
    Article 1, Article 2, Article 3
    21
    Decks
    490
    Flashcards
    59
    Learners

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