Financial Services, Regulation And Ethics Flashcards & Quizzes

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AAA Vocabulary

AAA Vocabulary

By: Izi Unknown

Block 3 - Engagement Planning, Block 1 - Money Laundering, Block 1 - Professional Liability ...

23

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1,153

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1

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ACC 453

ACC 453

By: Danielle Cugliari

Chapter 1: Assurance Services, Attestation Services and Financial Statement Audits, Chapter 2: Objective of a Financial Statement Audit, Chapter 3: Regulation of F/S Audits ...

17

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409

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13

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PcM

PcM

By: Jared Ignacio

1.1: Assess Resources Within the Practice, 1.2 Apply the Regulations and Requirements Governing the Work Environment, 1.3: Apply Ethical Standards to Comply with Accepted Principles Within a Given Situation ...

24

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825

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The Regulation and Ethics of the South African Financial Markets

The Regulation and Ethics of the South African Financial Markets

By: Ané Venter

Chapter 1: Regulation and the role of various regulators, Chapter 2: The Financial Markets Act, 2013, Chapter 3: Credit Rating Services Act ...

9

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173

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Certified Financial Planner (Nov 2023)

Certified Financial Planner (Nov 2023)

By: David Giles

A.3 Function, purpose, and general structure of financial institutions, A. Professional Conduct and Regulation (8%), A.1 CFP Board’s Code of Ethics and Standards of Conduct ...

6

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82

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8

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CFP EXAM 2

CFP EXAM 2

By: Nicholas mercer

Chapter 1: Basic Concepts of Risk and Insurance, Chapter 2: Managing Risks., Chapter 3: Types of Insurers and Their Marketing Systems ...

21

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838

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15

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CISI: International Introduction to Securities & Investment

CISI: International Introduction to Securities & Investment

By: Jasmine Curtis

Chapter 1: The Financial Services Sector, Chapter 2: The Economic Environment, Chapter 3: Financial Assets and Markets ...

9

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33

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11

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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

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724

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General Principals

General Principals

By: Paige Gordon

Sec. 1 - Ch.2: Standards & Ethics, Sec. 1 - Ch.3: Financial Statements & Cash Flow, Sec. 1 - Ch.5: Financial Institutes ...

8

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117

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Audit

Audit

By: push iyer13

Audit - Independent MCQs & Integrated Case Study, SQC 1 - Quality Control for Firms that Perform Audits & Reviews of Historical Financial Information & Other Assurance & Related Service Engagements, SA 200 – Overall Objectives of the Independent Auditor and Conduct of an Audit in accordance with SA ...

40

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208

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Intro to FP

Intro to FP

By: Susanna Pinto

1 Basic Economic Concepts, 2 Time Value of Money, 3 Business Law ...

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