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  • Regs
    Regs

    Regs

    By: Simran Cheema
    Chapter 3 Associated Legislation and Regulation, Chapter 4 The FCA Conduct of Business and Client Asset Sourcebooks, Chapter 5 Complaints and Redress...
    6
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    228
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    1
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  • Class Name
    Class Name

    Class Name

    By: R T
    Topic 1 - FS Industry, Topic 2 - Economic Policy & Financial Regulation, Topic 3 - UK Taxation 1...
    25
    Decks
    410
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    8
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  • Regs UK
    Regs UK

    Regs UK

    By: shan gopaul
    1) The Regulatory Environment, 2) The Financial Services and Markets Act 2000 and Financial Services Act 2012, 3) Associated Legislation and Regulation...
    5
    Decks
    798
    Flashcards
    1
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  • Corporate Finance Regulation
    Corporate Finance Regulation

    Corporate Finance Regulation

    By: Phil Moore
    1. Regulatory Infrastructure, 2. The Role of the FCA and the PRA, 3. Company Law 4. AML and CTF...
    25
    Decks
    724
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    1
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  • CII R01
    CII R01

    CII R01

    By: Adam Bradbury
    8. Client Advising Skills, 7. The Regulatory Advice Framework, 6. Principles & Rules as Set out in the Regulatory Framework...
    10
    Decks
    60
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    34
    Learners
  • SA2 Acronyms
    SA2 Acronyms

    SA2 Acronyms

    By: First Last
    Critical illness, Critical illness anti selection mitigation, Critical illness needs met...
    38
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    318
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    32
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  • R01 Karim
    R01 Karim

    R01 Karim

    By: Karim Mostafa
    Chapter 1 Summary Points, Chapter 2: How the retail consumer is served by the financial services industry, Chapter 3: Legal concepts and considerations relevant to financial advice...
    11
    Decks
    154
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    5
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  • interview practice
    interview practice

    interview practice

    By: Kita Mistry
    Competency Questions, FCA INTERVIEW, Financial Ombudsman...
    7
    Decks
    71
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    1
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  • Fin Markets & Institutions
    Fin Markets & Institutions

    Fin Markets & Institutions

    By: Mσиιкα Ƙ
    Integrity Ethics, Uk Regulatory Infastructure, PRA & FCA...
    10
    Decks
    59
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    1
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  • CISI UK Financial Regulation (2024/25)
    CISI UK Financial Regulation (2024/25)

    CISI UK Financial Regulation (2024/25)

    By: Daniel Adebayo
    Chapter 1: The Regulatory Environment, Chapter 2: The Financial Services and Markets Act 2000 and Financial Services Act 2012, Chspter 3: Associated Legislation and Regulation...
    6
    Decks
    45
    Flashcards
    2
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  • Contract Law
    Contract Law

    Contract Law

    By: Emily clayton
    Remoteness, SP, Privity...
    13
    Decks
    120
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    1
    Learner
  • CISI
    CISI

    CISI

    By: soeoak kyaw
    Chapter 1 - The Financial Services Industry, Chapter 2 - UK Financial Services And Consumer Relationships, Chapter 3 - Uk Contract And Trust Legislation...
    10
    Decks
    26
    Flashcards
    2
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  • Asset Finance - Unit 2
    Asset Finance - Unit 2

    Asset Finance - Unit 2

    By: Patrick Iyoyin
    Regulation, FCA & PRA continued, Consumer Credit...
    9
    Decks
    86
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    1
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  • THE FINANCIAL MARKETS
    THE FINANCIAL MARKETS

    THE FINANCIAL MARKETS

    By: Daniel Newton
    Financial Markets, Types of Financial Markets, Credit Creation and the Money Multiplier - How do Commercial Banks Make Money?...
    4
    Decks
    36
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    1
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  • CeMAP 1, 2 & 3
    CeMAP 1, 2 & 3

    CeMAP 1, 2 & 3

    By: Storm Wheatley
    CeMAP 1 UKFR 20/21 - Unit 1 - Topic 1 Introduction to the Financial Service Industry, CeMAP 1 UKFR 20/21 - Unit 1 - Topic 2 Economic Policy and Financial Regulation, CeMAP 1 UKFR 20/21 - Unit 1 - Topic 3 UK Taxation 1...
    55
    Decks
    35
    Flashcards
    115
    Learners
  • Revision C
    Revision C

    Revision C

    By: Kristina Vedeike
    Daily questions, Under FCA regulations, the definition of a regulated mortgage contract specifically excludes: A debt consolidation. B home improvement loans. C commercial lending D bridging loans.
    2
    Decks
    20
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    1
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  • CISI UK Financial Regulations 2023-24
    CISI UK Financial Regulations 2023-24

    CISI UK Financial Regulations 2023-24

    By: Katrina Carter
    Chapter 1 - The Regulatory Environment, Chapter 2 - The Financial Services and Markets Act 2000 and Financial Services Act 2012, Chapter 3 - Associated Legislation and Regulation...
    5
    Decks
    36
    Flashcards
    1
    Learner
  • AF7
    AF7

    AF7

    By: Andrew Cruse
    FCA and the Regulatory Requirements, TPR and The Statutory Transfer Process, Features and Security of Defined Benefit Schemes...
    8
    Decks
    53
    Flashcards
    1
    Learner
  • Financial Regulation & Ethics
    Financial Regulation & Ethics

    Financial Regulation & Ethics

    By: Kazeem Sarumi
    TCF, Advice, Money Laundering...
    6
    Decks
    31
    Flashcards
    1
    Learner
  • Asset Finance - Unit 1
    Asset Finance - Unit 1

    Asset Finance - Unit 1

    By: Patrick Iyoyin
    Advantages of Leasing, Trade Organisations, Access to Market...
    11
    Decks
    62
    Flashcards
    1
    Learner
  • EF 1 - Preparation for Listing
    EF 1 - Preparation for Listing

    EF 1 - Preparation for Listing

    By: chaya kupperman
    Terminology, Advantages and Disadvantages to Listing, AIM v LSE...
    14
    Decks
    37
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    1
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