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  • 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
    145
    Learners
  • UK Regulation and Professional Integrity - Jul 2024
    UK Regulation and Professional Integrity - Jul 2024

    UK Regulation and Professional Integrity - Jul 2024

    By: David Bailey
    Unit 1 - UK FS sector (2 of 80), Unit 2 - UK FS & Consumer Relations (4 of 80), Unit 3 - UK Contract & Trust Legislation (2 of 80)...
    12
    Decks
    308
    Flashcards
    16
    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
  • 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
  • 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
  • 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
    25
    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
    26
    Learners
  • M80
    M80

    M80

    By: Shani higgs
    Regulatory:PRA & FCA, Regulatory 2: Commercial And Legislative Aspects, 4: Statistical Data...
    6
    Decks
    134
    Flashcards
    65
    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
  • CISI UK Financial Regulation 2025
    CISI UK Financial Regulation 2025

    CISI UK Financial Regulation 2025

    By: Jack Eden
    Last Minute Study / Past Paper Questions / AI Questions, Chapter 1: The Regulatory Environment, Chapter 4: The FCA Conduct of Business and Client Assets Sourcebooks
    3
    Decks
    313
    Flashcards
    30
    Learners
  • CeMAP Unit 2
    CeMAP Unit 2

    CeMAP Unit 2

    By: JOSHUA SAVIDENT
    Topic 17 The FCA's Aims & Activities, Topic 17 FCA's Aims & Activities Part 2, Topic 18 Regulating Firms & Individuals...
    11
    Decks
    736
    Flashcards
    7
    Learners
  • Family Court Act
    Family Court Act

    Family Court Act

    By: Steve Blank
    Article 1, Article 2, Article 3...
    21
    Decks
    490
    Flashcards
    68
    Learners
  • CII - IF1 (Chapter 5 - Good Faith)
    CII - IF1 (Chapter 5 - Good Faith)

    CII - IF1 (Chapter 5 - Good Faith)

    By: katy mainwaring
    Principle of utmost good faith, Impact of FCA/legislation on utmost good faith, Material Facts...
    4
    Decks
    47
    Flashcards
    9
    Learners
  • VJC Resources 2023
    VJC Resources 2023

    VJC Resources 2023

    By: Antoinette Moore
    FCA, CPLR 3, CPLR 11...
    6
    Decks
    466
    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
    13
    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
  • Ciii - CF1
    Ciii - CF1

    Ciii - CF1

    By: R T
    1. Purpose & Structure Of The UK FS Industry, 2. Main Areas of Financial Advice: The Present, 3. Areas of Financial Advice: The Future...
    12
    Decks
    127
    Flashcards
    20
    Learners
  • Clerk Training Decks
    Clerk Training Decks

    Clerk Training Decks

    By: C P
    FCA 10, FCA 10 TRAINING NOTES, FCA ART 3 VOLUME 1 MASTER
    3
    Decks
    221
    Flashcards
    2
    Learners
  • R01 2023
    R01 2023

    R01 2023

    By: Jay Ngo
    5 - Understand the financial regulator's responsibilities and approach to regulations, 7 Core Regulatory Principles and Rules, 2 - Serving the Retail Customer...
    11
    Decks
    537
    Flashcards
    4
    Learners
  • R01: Financial Services, Regulation and Ethics
    R01: Financial Services, Regulation and Ethics

    R01: Financial Services, Regulation and Ethics

    By: Jonathon Brand
    1. The UK Financial Services Industry: An Overview, 2. Serving the Retail Consumer, 3. Laws and Legal Concepts Relevant to Financial Advice...
    9
    Decks
    629
    Flashcards
    23
    Learners
  • CeMAP 1 (Unit two)
    CeMAP 1 (Unit two)

    CeMAP 1 (Unit two)

    By: Grace Barritt
    Topic 17 (The FCA's aims and activities), Topic 18 (Regulating firms and individual), Topic 19 (Prudential supervision)...
    9
    Decks
    192
    Flashcards
    120
    Learners
  • Incoterms 2020
    Incoterms 2020

    Incoterms 2020

    By: Luka Gorgoshidze
    EXW - Ex works, FCA - Free Carrier, CPT - Carriage Paid To...
    6
    Decks
    186
    Flashcards
    10
    Learners
  • UK FINANCIAL REGULATION
    UK FINANCIAL REGULATION

    UK FINANCIAL REGULATION

    By: Ma Sha
    All definitions, OTHER DIRECT INVESTMENTS, COLLECTIVE INVESTMENTS...
    18
    Decks
    288
    Flashcards
    172
    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
    5
    Learners
  • CISI Unit 1
    CISI Unit 1

    CISI Unit 1

    By: Laurence Jones
    Unit 1 (Glossary), Unit 1 - 1. The Regulatory Environment, Unit 1 - 2. The Financial Services and Markets Act 2000 and Financial Services Act 2012...
    7
    Decks
    379
    Flashcards
    51
    Learners
  • CeMAP 1 - BigBoyPritch
    CeMAP 1 - BigBoyPritch

    CeMAP 1 - BigBoyPritch

    By: Rhys Pritchard
    Endowments, Inheritance Tax, State Benefits...
    10
    Decks
    228
    Flashcards
    8
    Learners
  • R01 Chapter 5A: Responsibilities and approach to regulation
    R01 Chapter 5A: Responsibilities and approach to regulation

    R01 Chapter 5A: Responsibilities and approach to regulation

    By: Lauren Tall
    5A.1 The Financial Services Act 2012, 5A.2 FCA - The basics, 5A.3 FCA divisions...
    4
    Decks
    272
    Flashcards
    2
    Learners
  • RO1
    RO1

    RO1

    By: James S
    Chapter 1 (6 Exam Questions): The UK financial services industry in its European and global context, Chapter 2 (12 exam questions): How The Retail Consumer Is Served By The Financial Services Industry, Chapter 3 (9 exam questions): Legal concepts and considerations relevant to financial advice...
    12
    Decks
    961
    Flashcards
    6
    Learners
  • CII R01 - Chapter 5
    CII R01 - Chapter 5

    CII R01 - Chapter 5

    By: Mia Savory
    A. UK Regulatory Landscape, B. FCA Objectives, C. Scope And Powers...
    5
    Decks
    22
    Flashcards
    5
    Learners
  • CII: R01 2020-21
    CII: R01 2020-21

    CII: R01 2020-21

    By: Lucie Sudworth
    1 - The UK Financial Services Industry: An Overview, 2 - Serving the retail consumer, 3 - Laws and Legal concepts relevant to financial advice...
    9
    Decks
    167
    Flashcards
    47
    Learners

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