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  • APC Submission
    APC Submission

    APC Submission

    By: luke Freeman
    Conduct Rules, Ethics and Professional Practice, Client Care, Communication and Negotiation ...
    19
    Decks
    21
    Flashcards
    13
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  • ICAS TC AR
    ICAS TC AR

    ICAS TC AR

    By: Patryk Kozlowski
    Module 2 Corporate Governance, Module 3 Internal Control Systems, Module 4 Accounting Information Systems and Controls 1 ...
    21
    Decks
    307
    Flashcards
    3
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  • 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
    238
    Flashcards
    1
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  • Ops
    Ops

    Ops

    By: Jason De La Vega
    OP L-2, Rx kinetics, Isothermal Temperature Coefficient ...
    27
    Decks
    127
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    1
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  • Core paper A
    Core paper A

    Core paper A

    By: Tobi Akande
    Legislation and regulatory requirements cont 4, Content Area 2, Content Area 3 ...
    4
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    97
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    1
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  • CFP 1 - General Planning
    CFP 1 - General Planning

    CFP 1 - General Planning

    By: Mike Hcolluccm
    101-1 Personal Financial Planning Process, 101-2 Behavioral Finance, 101-3 Financial Statements ...
    10
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    184
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    2
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  • (CISSP) Domain 1: Security and Risk Management
    (CISSP) Domain 1: Security and Risk Management

    (CISSP) Domain 1: Security and Risk Management

    By: Trevor Murphy
    1.1 Understand, Apply, and Promote Professional Ethics, 1.2 Understanding and Applying Security Conepts, 1.3 Evaluate and Apply Security Concepts ...
    12
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    327
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    1
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  • Office Of The Superintendent Of Financial Institutions
    Office Of The Superintendent Of Financial Institutions

    Office Of The Superintendent Of Financial Institutions

    By: Justin Poulin
    Corporate Governance, Own Risk And Solvency Assessment (ORSA), Stress Testing ...
    10
    Decks
    55
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    1
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  • CSCP
    CSCP

    CSCP

    By: m b
    1: SUPPLY CHAIN MANAGEMENT, 2: SUPPLY CHAIN REFERENCE MODEL, 3: LOGISTICS FUNDAMENTALS ...
    26
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    164
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    5
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  • A REG Incorrect Questions
    A REG Incorrect Questions

    A REG Incorrect Questions

    By: James Boyd
    IRS Circular 230, AICPA Statements on Standards for Tax services, Internal Revenue Service Code of 1986 as amended, and regulations related to Tax return preparers ...
    89
    Decks
    582
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    4
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  • LM2
    LM2

    LM2

    By: Asher Marshall
    LO8: Understanding the way that business is conducted in the London Market, LO7: Underwriting, LO5: Understanding the regulatory and legal requirements applicable to the transaction of insurance business ...
    5
    Decks
    193
    Flashcards
    1
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  • Securities Industry Essentials® (SIE®) - Sandbox
    Securities Industry Essentials® (SIE®) - Sandbox

    Securities Industry Essentials® (SIE®) - Sandbox

    By: David Giles
    1.1.1 The Securities and Exchange Commission (SEC), 1.1.2 Self-regulatory Organizations (SROs), 1.1.3 Other Regulators and Agencies ...
    34
    Decks
    183
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    2
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  • F210 GPM
    F210 GPM

    F210 GPM

    By: Thandeka Mokoena
    Chapter 1: Financial Institutions, Chapter 2: Insurance contracts, Chapter 3: The investment framework of the institution ...
    18
    Decks
    123
    Flashcards
    5
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  • F202 - Life Insurance Fellowship
    F202 - Life Insurance Fellowship

    F202 - Life Insurance Fellowship

    By: Ryno van der Berg
    Chapter 1 - South African General Business Environment, Chapter 3 - Product Design, Pricing and Distribution, Chapter 4 - Contract Design and Pricing ...
    18
    Decks
    162
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    4
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  • F202 Life Insurance Fellowship_MM
    F202 Life Insurance Fellowship_MM

    F202 Life Insurance Fellowship_MM

    By: Merveilleuse M
    Chapter 1: South African general business environment, Chapter 2: South African socio-economic conditions, Chapter 3: South African specific products ...
    16
    Decks
    220
    Flashcards
    2
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  • PPP
    PPP

    PPP

    By: diana s
    Project Delivery, Programming, Gv't & Regulatory Requirements & Permit
    3
    Decks
    85
    Flashcards
    1
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  • Pt. 2 - MD Real Estate Exam
    Pt. 2 - MD Real Estate Exam

    Pt. 2 - MD Real Estate Exam

    By: Rena Champaco
    Maryland Regulatory Environment, Maryland Licensing Requirements, Maryland’s Regulation of Licensee Activities ...
    6
    Decks
    56
    Flashcards
    1
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  • CGFM-Study Guide 3
    CGFM-Study Guide 3

    CGFM-Study Guide 3

    By: Curby Colvin
    Section 1: Financial Management Functions, Section 1 Chapter 1: Cash Management, Section 1 Chapter 2: Investment Management ...
    21
    Decks
    176
    Flashcards
    5
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  • DMV Permit Study Guide
    DMV Permit Study Guide

    DMV Permit Study Guide

    By: Casey S
    Vehicle Equipment standards, Bumper Height Requirements, Preparing to Drive Your Vehicle ...
    11
    Decks
    99
    Flashcards
    1
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  • health and social- safeguarding
    health and social- safeguarding

    health and social- safeguarding

    By: Zoe Monaghan
    signs and symptoms of abuse, factors which lead to abusive situations, legislation, regulatory requirements and guidance which govern the safeguarding of adults, young people and children ...
    6
    Decks
    16
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    3
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  • IMC Module 1
    IMC Module 1

    IMC Module 1

    By: Ben Sutton
    Chapter 1 - Introduction To Financial Markets, Chapter 2 - Authorised and Approved Persons, Chapter 3 - The Conduct of Business and Client Asset Rules ...
    10
    Decks
    125
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    1
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  • Learning
    Learning

    Learning

    By: Leung April
    Key ESG Concepts and Principles, ESG Framework and Standards, Sustainable Development Goals (SDGs) ...
    31
    Decks
    203
    Flashcards
    1
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  • Two0Two Other
    Two0Two Other

    Two0Two Other

    By: K S
    Chapter 1: South African general business environment, Chapter 2: South African socio-economic conditions, Chapter 3: South African specific products ...
    16
    Decks
    220
    Flashcards
    1
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  • Ethics in Finance
    Ethics in Finance

    Ethics in Finance

    By: Moncef Ayoun
    Legal and Regulatory Structure, Duties of the financial advisor, Registration ...
    10
    Decks
    66
    Flashcards
    1
    Learner
  • F202 - Life Insurance Fellowship
    F202 - Life Insurance Fellowship

    F202 - Life Insurance Fellowship

    By: Ziyaad Mathee
    1, 2. South African Business Environment & SEC, 3. South African Specific Products, 6. South African Insurance Taxation ...
    13
    Decks
    40
    Flashcards
    2
    Learners
  • LAW 39806
    LAW 39806

    LAW 39806

    By: Emily Chuang
    Lecture 1- Introduction, Lecture 2- Historical development of US food law and the concept of food, Lecture 3- US food law: knowledge ...
    12
    Decks
    103
    Flashcards
    1
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  • 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
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  • L1 24 Financial Reporting Standards
    L1 24 Financial Reporting Standards

    L1 24 Financial Reporting Standards

    By: Steven Popovic
    A describe the objective of financial statements and the importance of financial reporting standards in security analysis and valuation;, B describe roles and desirable attributes of financial reporting standard-setting bodies and regulatory authorities in establishing and enforcing reporting standards, and describe the role of the International Organization of Securities Commissions;, C describe the status of global convergence of accounting standards and ongoing barriers to developing one universally accepted set of financial reporting standards; ...
    9
    Decks
    37
    Flashcards
    1
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