Brainscape's Knowledge GenomeTM


Top Flashcards (Certified)
All Flashcards

Learn Financial Regulation

Study Financial Regulation using smart web & mobile flashcards created by top students, teachers, and professors. Prep for a quiz or learn for fun!
Brainscape Certified flashcards
(0)
Decks
Flashcards
Learners
User Generated flashcards
(30)
Decks
Flashcards
Learners
  • CFP
    CFP

    CFP

    By: ryan halvorson
    Rules of Conduct, Code of Ethics, Financial Planning Practice Standards ...
    51
    Decks
    1,030
    Flashcards
    324
    Learners
  • Overview of the Financial System
    Overview of the Financial System

    Overview of the Financial System

    By: sinuka sinuko
    I. Function of Financial Markets, II. Structure of Financial Markets, III. Financial Market Instruments ...
    7
    Decks
    243
    Flashcards
    15
    Learners
  • CIPP/US 1.0 - IAPP
    CIPP/US 1.0 - IAPP

    CIPP/US 1.0 - IAPP

    By: Host Mom
    Ch. 1: Introduction to the U.S. Privacy Environment, Ch. 1 - Intro into US Privacy Environment Quiz, Ch. 2: US Legal Framework ...
    39
    Decks
    5,017
    Flashcards
    259
    Learners
  • CHFC HS 300
    CHFC HS 300

    CHFC HS 300

    By: Tommy Boye
    Module 2 (Effective Communication), Module 1 (Financial Planning Process), Module 3 (Ethics) ...
    15
    Decks
    638
    Flashcards
    465
    Learners
  • Cemap 2&3 Self Testing
    Cemap 2&3 Self Testing

    Cemap 2&3 Self Testing

    By: Alicia Tse
    1. Property and Mortgage Markets, 2. Types Of Borrower, 3. Mortgage Regulation ...
    29
    Decks
    1,341
    Flashcards
    51
    Learners
  • Theory of Accounts
    Theory of Accounts

    Theory of Accounts

    By: Tina A
    Professional Regulation & Basic Accounting Concepts, Standard Setting, Conceptual Framework: Old and Revised ...
    6
    Decks
    170
    Flashcards
    229
    Learners
  • Series 7 by Chapter
    Series 7 by Chapter

    Series 7 by Chapter

    By: Leo O'Connor
    Annuities and Variable Products, Complex Options Strategies, Corporate Debt Securities and Money-Market Instruments ...
    24
    Decks
    1,348
    Flashcards
    105
    Learners
  • Certified Financial Planner
    Certified Financial Planner

    Certified Financial Planner

    By: tony beth
    Law of Contracts, Agency, Professional Liability ...
    35
    Decks
    847
    Flashcards
    27
    Learners
  • JW - CeMap 1 (2019/2020)
    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 taxation ...
    25
    Decks
    851
    Flashcards
    297
    Learners
  • IMC Unit 1: Financial Markets and Institutions
    IMC Unit 1: Financial Markets and Institutions

    IMC Unit 1: Financial Markets and Institutions

    By: Naza Mwasi
    Chapter 1: Financial Markets and Institutions, Chapter 2: Ethics and Investment Professionalism, Chapter 3: The Regulation of Financial Markets and Institutions p1. ...
    6
    Decks
    150
    Flashcards
    23
    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
    5
    Learners
  • If4 claims handling process 2021 (ALL of my study notes that helped me pass) READ THE SINGLE CARDS DECK IN PROGRESSIVE MIX
    If4 claims handling process 2021 (ALL of my study notes that helped me pass) READ THE SINGLE CARDS DECK IN PROGRESSIVE MIX

    If4 claims handling process 2021 (ALL of my study notes that helped me pass) READ THE SINGLE CARDS DECK IN PROGRESSIVE MIX

    By: cbionic516 rhetorich ergonomic
    Financial Ombudsman Service, Financial Ombudsman Service II, Motor Insurers’ Bureau ...
    24
    Decks
    2,053
    Flashcards
    110
    Learners
  • Year 2 Money, Banking and Finance (SPR EXAM)
    Year 2 Money, Banking and Finance (SPR EXAM)

    Year 2 Money, Banking and Finance (SPR EXAM)

    By: James Drinkwater
    Financial Intermediation, Financial Crisis, Financial Regulation ...
    8
    Decks
    103
    Flashcards
    1
    Learner
  • Investment Management Certificate (IMC)
    Investment Management Certificate (IMC)

    Investment Management Certificate (IMC)

    By: Unknown Unknown
    Chapter 3- The Regulation of Financial Markets and Institutions- Section 1, “Chapter 3- The Regulation of Financial Markets and Institutions- Section 2, Chapter 3- The Regulation of Financial Markets and Institutions- Section 3 ...
    5
    Decks
    82
    Flashcards
    28
    Learners
  • ALU-101
    ALU-101

    ALU-101

    By: samantha callaghan
    Diagnostic and Imaging Technology/Terminology, Build and Blood pressure, Diabetes ...
    14
    Decks
    1,110
    Flashcards
    348
    Learners
  • Banking Law
    Banking Law

    Banking Law

    By: Anik Gupta
    Mistaken Payments, Lending, Selling Loans ...
    14
    Decks
    1,126
    Flashcards
    1
    Learner
  • 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
    31
    Learners
  • Actuarial Risk Management CA1
    Actuarial Risk Management CA1

    Actuarial Risk Management CA1

    By: Rayno Mostert
    Chapter 0: CA1, Chapter 1, 2 - Professionalism & Stakeholders, Chapter 3 - External Environment ...
    57
    Decks
    1,656
    Flashcards
    573
    Learners
  • Finance
    Finance

    Finance

    By: Alice Guimard
    Methods of financing the enterprise, Financial analysis of the enterprise, Banking system ...
    12
    Decks
    163
    Flashcards
    42
    Learners
  • Financial Service Sector
    Financial Service Sector

    Financial Service Sector

    By: eloisa garnica
    Investment Chain, The Economic Enviroment, Equities/Stocks ...
    10
    Decks
    373
    Flashcards
    2
    Learners
  • April 2025
    April 2025

    April 2025

    By: Vicky Wen
    IFRS17, Court Cases, OSFI ...
    19
    Decks
    1,135
    Flashcards
    1
    Learner
  • 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
    48
    Learners
  • financial markets
    financial markets

    financial markets

    By: Amely Bostoen
    chapter 2: an overview of the financial system, chapter 1: introduction, chapter 3: What is Money ? ...
    17
    Decks
    463
    Flashcards
    60
    Learners
  • 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
    126
    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
    25
    Learners
  • CeMAP 1 Flashcards 2024
    CeMAP 1 Flashcards 2024

    CeMAP 1 Flashcards 2024

    By: Callum Reid
    CeMAP1 Mock 1, CeMAP 1 Unit 1 Mock, CeMAP 1 Unit 2 Mock ...
    5
    Decks
    172
    Flashcards
    48
    Learners
  • IMC UNIT 1 (Edition 21 - Dec 23)
    IMC UNIT 1 (Edition 21 - Dec 23)

    IMC UNIT 1 (Edition 21 - Dec 23)

    By: Nina Blackie
    C1 - Financial Markets & Institutions (10-20 Qs), C2 - Ethics & Investment Professionalism (5-15 Qs), C3 - Regulation of Financial Markets & Institutions (25-35 Qs with C4) ...
    7
    Decks
    534
    Flashcards
    40
    Learners
  • SQE 1 Flashcards (FLK 1 & FLK 2)
    SQE 1 Flashcards (FLK 1 & FLK 2)

    SQE 1 Flashcards (FLK 1 & FLK 2)

    By: Jonathan Powell
    Criminal Practice (Police Powers), Criminal Practice (Police Advice), Criminal Practice (First Hearing & Bail) ...
    60
    Decks
    4,440
    Flashcards
    69
    Learners
  • CeMAP 2 & CeMAP 3
    CeMAP 2 & CeMAP 3

    CeMAP 2 & CeMAP 3

    By: James S
    Topic 1 - Property and mortgage markets, Topic 2 - Types of Borrower, Topic 3: Mortgage Regulation ...
    32
    Decks
    1,212
    Flashcards
    43
    Learners
  • Y2 A Level Economics
    Y2 A Level Economics

    Y2 A Level Economics

    By: Karen Pugh
    Microeconomics- Unit 3.1 Business Objectives, Microeconomics 3.2 Costs and Revenue, Market Structure-4.1 Perfect Competition ...
    15
    Decks
    457
    Flashcards
    39
    Learners

Knowledge Genome

Brainscape helps you reach your goals faster, through stronger study habits.
© 2025 Bold Learning Solutions. Terms and Conditions