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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)9Decks192Flashcards109Learners -
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 Customer11Decks537Flashcards1Learner -
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 Advice9Decks629Flashcards18Learners -
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 Facts4Decks47Flashcards6Learners -
Clerk Training Decks
Clerk Training Decks
By: C P
FCA 10, FCA 10 TRAINING NOTES, FCA ART 3 VOLUME 1 MASTER3Decks221Flashcards2Learners -
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 20127Decks379Flashcards48Learners -
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 divisions4Decks272Flashcards2Learners -
VJC Resources 2023
VJC Resources 2023
By: Antoinette Moore
FCA, CPLR 3, CPLR 116Decks466Flashcards1Learner -
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 advice9Decks167Flashcards40Learners -
CF
CF
By: Andreas Avraam
Excluded activity, Glossary, 1.5 Exempt Persons32Decks536Flashcards2Learners -
mortgages types / types of borrowers
mortgages types / types of borrowers
By: Andrew McKechnie
WEEK 6: mortgage types / types of borrowers, mortgage associated products WEEK 9, mortgage regulation WEEK 116Decks101Flashcards2Learners -
Cemap unit 1
Cemap unit 1
By: Molly Hill
unit 1 into to financial services, unit 1 topic 2- economic policy, Unit 1 topic 3 - Taxation25Decks818Flashcards856Learners -
CeMAP 1 - BigBoyPritch
CeMAP 1 - BigBoyPritch
By: Rhys Pritchard
Endowments, Inheritance Tax, State Benefits10Decks228Flashcards7Learners -
DipFA - FSRE (22/23)
DipFA - FSRE (22/23)
By: George Farley
1. Role And Structure Of Financial Markets, 2. The Role Of Government, 3. Customer Needs11Decks174Flashcards3Learners -
IAD Level 1
IAD Level 1
By: Helen Chua
Chapter 1: The UK Financial Services Sector, Chapter 2: UK Financial Services and Consumer Relationships, Chapter 3: UK Contract and Trust Legislation17Decks369Flashcards1Learner -
UK Financial Regulation
UK Financial Regulation
By: Jennie Acharjee
FCA's COBS & CASS, Regulatory Environment, FSMA 2000 & Financial Services Act 20125Decks49Flashcards9Learners -
Cemap1 unit 1 and 2
Cemap1 unit 1 and 2
By: Keesha Anderson
1. Introduction to financial services, 2. Economic Policy and financial regulation, 3. UK Taxation 125Decks334Flashcards63Learners -
CII R01 - Chapter 5
CII R01 - Chapter 5
By: Mia Savory
A. UK Regulatory Landscape, B. FCA Objectives, C. Scope And Powers5Decks22Flashcards1Learner -
FSRE - DIPFA
FSRE - DIPFA
By: Ned Clonan
Topic 1 The role and structure of financial markets, Topic 2 The role of government, Topic 3 Financial services in the wider economy20Decks175Flashcards54Learners -
CeMap
CeMap
By: space man
Unit 1 Topic 1 - Introducing the financial services industry, Unit 1 Topic 2 - Economic policy and financial regulation, Unit 1 Topic 3 - UK taxation I25Decks781Flashcards532Learners -
CISI
CISI
By: Shade Oyewole
Unit 1 - The Regulatory environment, Unit 2 - FSMA and FSA, Unit 3 - Association and Legislation5Decks225Flashcards5Learners -
IMC Unit 1 -Chapter 3
IMC Unit 1 -Chapter 3
By: Sam Nota
Section 3.1 - International Regulation: EU Directives, Regulation and Guidance, Section 3.2 - UK regulation, Section 3.3 - FCA Objectives and Standards8Decks166Flashcards1Learner -
Regulation & Compliance Chapter 1, 2 & 4
Regulation & Compliance Chapter 1, 2 & 4
By: Luke O'Mahoney
Overview of UK Financial Services Regulation, Regulated Activities, Authorisation and MIFID, Penalties for breaching FSMA 2000 & Collective Invest Scheme14Decks240Flashcards4Learners -
JW - CeMap 1 (2019/2020)
JW - CeMap 1 (2019/2020)
By: J W
Unit 1: Introduction to the Financial Services Environment and Products - Topic 1 - Introducing the financial services industry, Unit 1 - Topic 2 - Economic policy and financial regulation, Unit 1 - Topic 3 - UK taxation25Decks851Flashcards242Learners -
IMC IE Chapter 1
IMC IE Chapter 1
By: Serena Asante
IMC Chapter 1, IMC Chapter 1 - 1.4 - The FCA, IMC Chapter 1 - 1.3 - The Regulatory Environment4Decks128Flashcards1Learner -
LT Test
LT Test
By: Daniel T
Penal Law, Case Law, Other Laws10Decks276Flashcards1Learner -
CeMap 1
CeMap 1
By: Lucy Russell
TOPIC 1 - Introducing the financial services industry, TOPIC 2 - Economic policy and financial regulation, TOPIC 4 - UK taxation II25Decks531Flashcards12Learners -
IOC - UK financial reg
IOC - UK financial reg
By: Mark Patching
IOC - UK Reg CH 1 - Regulatory Environment, IOC - UK Reg CH 2 - FSMA 2000 - FSA 2012, IOC - UK Reg CH 3 - Associated Legislation and Regulation6Decks193Flashcards12Learners -
Financial Planning
Financial Planning
By: Declan Iom
Topic 1 Key Influences In UK Financial Services industry, Topic 2 : PRA & FCA, Topic 3 - Conduct Of Business Rules5Decks361Flashcards3Learners -
UKFR
UKFR
By: Kelsey Phillips
U1: T1 - INTRODUCING THE FINANCIAL SERVICES INDUSTRY, U1: T2 - ECONOMICS POLICY AND FINANCIAL REGULATION, U1: T3 - UK TAXATION I27Decks1,071Flashcards5Learners