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  • 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
  • The Regulation Of Financial Services
    The Regulation Of Financial Services

    The Regulation Of Financial Services

    By: Sam Sam
    Role Of Regulatory Bodies, Responsibilities To Regulation, Understand The Legal Concepts ...
    9
    Decks
    140
    Flashcards
    1
    Learner
  • FCA 3: UK Financial Regulation
    FCA 3: UK Financial Regulation

    FCA 3: UK Financial Regulation

    By: Ebrima Jallow
    The Regulatory Environment, The Financial Services and Markets Act 2000 & Financial Services Act 2012, Associated Legislation and Regulation ...
    4
    Decks
    292
    Flashcards
    2
    Learners
  • Chapter 3.4 - 3.5. The Regulation Of Financial Markets And Institutions
    Chapter 3.4 - 3.5. The Regulation Of Financial Markets And Institutions

    Chapter 3.4 - 3.5. The Regulation Of Financial Markets And Institutions

    By: Vemula Shravya
    Regulation Of Investment Exchanges And Clearing Houses, The London Stock Exchange, Ice Future Europe And Ice Clear Europe ...
    26
    Decks
    220
    Flashcards
    1
    Learner
  • Chapter 3.1 - 3.3 The Regulation Of Financial Markets and Institutions
    Chapter 3.1 - 3.3 The Regulation Of Financial Markets and Institutions

    Chapter 3.1 - 3.3 The Regulation Of Financial Markets and Institutions

    By: Vemula Shravya
    EU: Harmonisation Of Financial Services, EU: The European Securities And Markets Authority, EU: The Markets In Financial Instruments Directive ...
    28
    Decks
    231
    Flashcards
    1
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  • R01 Financial Services, Regulation And Ethics
    R01 Financial Services, Regulation And Ethics

    R01 Financial Services, Regulation And Ethics

    By: Laura Tennant
    Chapter 1
    1
    Decks
    39
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    4
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  • FINANCIAL ACCOUNTING AND REGULATION
    FINANCIAL ACCOUNTING AND REGULATION

    FINANCIAL ACCOUNTING AND REGULATION

    By: Charmaine Mullings
    Accounting Changes, Bonds Debt Restructure, Consolidations ...
    18
    Decks
    325
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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
    32
    Flashcards
    2
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  • 505 - Financial Planning Fundamentals- CHS
    505 - Financial Planning Fundamentals- CHS

    505 - Financial Planning Fundamentals- CHS

    By: Jen Mac
    Financial Services Industry Regulation, Financial Services, Consumer Protection
    3
    Decks
    60
    Flashcards
    1
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  • 1 - Regulation of the Financial Services Industry
    1 - Regulation of the Financial Services Industry

    1 - Regulation of the Financial Services Industry

    By: Ashley May
    1.01 - Regulation of the Financial Services Industry, 1.02 - Regulatory Agencies, 1.03 - Consumer Protection Organizations ...
    5
    Decks
    130
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    1
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  • Financial Accounting & Regulation
    Financial Accounting & Regulation

    Financial Accounting & Regulation

    By: Chad Taylor
    Conceptual Framework and Financial Reporting, Financial Statements
    2
    Decks
    89
    Flashcards
    1
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  • Chapter 3.6 - 3.7 The Regulation Of Financial Markets And Institutions
    Chapter 3.6 - 3.7 The Regulation Of Financial Markets And Institutions

    Chapter 3.6 - 3.7 The Regulation Of Financial Markets And Institutions

    By: Vemula Shravya
    Supervision And Enforcement Powers Of The FCA, Complaints And The Financial Ombudsman Service, Financial Services Compensation Scheme ...
    8
    Decks
    86
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    1
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  • Financial Accounting & Regulation
    Financial Accounting & Regulation

    Financial Accounting & Regulation

    By: Susan Jones
    Financial Reporting
    1
    Decks
    56
    Flashcards
    1
    Learner
  • Brunei Financial Regulations
    Brunei Financial Regulations

    Brunei Financial Regulations

    By: Syazarina HA
    Kutipan Hasil (Revenue), Kawalan Dalaman (Internal Control Measures), Tunggakan Hasil
    3
    Decks
    31
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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
  • Wrong/Low: Subject Financial Service Regulations
    Wrong/Low: Subject Financial Service Regulations

    Wrong/Low: Subject Financial Service Regulations

    By: Nick Sapienza
    Wrong/Low: Subject Financial Service Regulations, Wrong/Low Education, Investments
    3
    Decks
    59
    Flashcards
    1
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  • R01 - Financial Services, regulation and ethics
    R01 - Financial Services, regulation and ethics

    R01 - Financial Services, regulation and ethics

    By: Qaasim-Ahmed Khan
    Chapter 1 - UK financial services industry in its european and global context, Chapter 2 -, Chapter 3 - ...
    10
    Decks
    25
    Flashcards
    1
    Learner
  • Course 101 General Financial Planning, Principles, Professional Conduct, and Regulation
    Course 101 General Financial Planning, Principles, Professional Conduct, and Regulation

    Course 101 General Financial Planning, Principles, Professional Conduct, and Regulation

    By: jeffpratt88@comcast.net Pratt
    Unit 1 The Personal Financial Planning Process
    1
    Decks
    27
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    1
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  • Financial Regulation & Ethics
    Financial Regulation & Ethics

    Financial Regulation & Ethics

    By: Kazeem Sarumi
    TCF, Advice, Money Laundering ...
    6
    Decks
    31
    Flashcards
    1
    Learner
  • CISI Introduction to Securities & Investment (L4)
    CISI Introduction to Securities & Investment (L4)

    CISI Introduction to Securities & Investment (L4)

    By: Daniel Newton
    Chapter 1: The Financial Services Sector, Chapter 2: The Economic Environment, Chapter 3: Equities ...
    12
    Decks
    997
    Flashcards
    242
    Learners
  • R01
    R01

    R01

    By: Ellie Atkinson
    The UK Financial Services Industry: An Overview, Serving The Retail Customer, Principles And Rules Set Out In The Regulatory Framework ...
    10
    Decks
    416
    Flashcards
    440
    Learners
  • CII - R01
    CII - R01

    CII - R01

    By: Jordan Sidaway
    2 - Retail Customers, 3 - Legal Concepts, 4 - Financial Services Regulation ...
    9
    Decks
    230
    Flashcards
    657
    Learners
  • CISI Introduction to Securities and Investments 2025
    CISI Introduction to Securities and Investments 2025

    CISI Introduction to Securities and Investments 2025

    By: Jack Eden
    Chapter 1 - Introduction: The Financial Services Sector, Chapter 2 - The Economic Environment, Chapter 3 - Equities ...
    12
    Decks
    578
    Flashcards
    338
    Learners
  • Intro to FP
    Intro to FP

    Intro to FP

    By: Patrick H
    Intro to FP, Purpose of FP, Time Value of Money ...
    14
    Decks
    942
    Flashcards
    2
    Learners
  • CTP - 7th Edition
    CTP - 7th Edition

    CTP - 7th Edition

    By: Matthew Philipps
    AFP - CTP Exam Prep Flashcards, Regulations - Focus Deck, Regulators & Authoritative Groups ...
    27
    Decks
    2,618
    Flashcards
    4
    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
    40
    Learners
  • CFP Nov 23
    CFP Nov 23

    CFP Nov 23

    By: Amber Lynn
    Behavioral Finance, Financial Planning Process/Ethics and Standards, Financial Statements & Cash Flow ...
    11
    Decks
    151
    Flashcards
    44
    Learners
  • CVPM 2021
    CVPM 2021

    CVPM 2021

    By: Leslie Rowe
    Human Resources, Law & Ethics, Organization ...
    7
    Decks
    622
    Flashcards
    36
    Learners
  • CFMP
    CFMP

    CFMP

    By: Kimberley Kaschke
    CFMP financial principles 15%, CFMP Market Research 15%, CFMP US laws and regulations 15% ...
    6
    Decks
    412
    Flashcards
    258
    Learners
  • CISI Wrong course
    CISI Wrong course

    CISI Wrong course

    By: Tom Heyworth
    Chapter 1: The Financial Services Sector, Chapter 3: Equities, Chapter 2: The Economic Environment ...
    12
    Decks
    997
    Flashcards
    3
    Learners

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