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Learn Uk Financial Regulation

Study Uk Financial Regulation using smart web & mobile flashcards created by top students, teachers, and professors. Prep for a quiz or learn for fun!
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  • R01 Study
    R01 Study

    R01 Study

    By: Simon Large
    Chapter One: The UK Financial Services Industry: An Overview, Chapter Two: Serving the Retail Customer, Chapter Three: Laws & Legal Concepts
    11
    Decks
    301
    Flashcards
    13
    Learners
  • Regulation & Compliance Chapter 1, 2 & 4
    Regulation & Compliance Chapter 1, 2 & 4

    Regulation & Compliance Chapter 1, 2 & 4

    By: Luke O'Mahoney
    Overview of UK Financial Services Regulation, Regulated Activities, Authorisation and MIFID, Penalties for breaching FSMA 2000 & Collective Invest Scheme
    14
    Decks
    240
    Flashcards
    4
    Learners
  • R01 CS
    R01 CS

    R01 CS

    By: Charlotte Scott
    Protection & Insurance, Types Of Client & Business, Regulatory Advice Process
    15
    Decks
    219
    Flashcards
    3
    Learners
  • UKFR
    UKFR

    UKFR

    By: Lee Stapleton
    Intro financial Services Industry, Economic Policy And Financial Regulation, UK Taxation 1
    25
    Decks
    288
    Flashcards
    2
    Learners
  • 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
    Flashcards
    3
    Learners
  • CII RO1 Exam Flashcards
    CII RO1 Exam Flashcards

    CII RO1 Exam Flashcards

    By: Nikita Phillips
    Unit 1 - The UK Financial Services Industry: An Overview, Unit 2 - Serving the Retail Consumer, Unit 3 - Laws and Legal Concepts Relevant To Financial Advice
    4
    Decks
    99
    Flashcards
    14
    Learners
  • 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
    Flashcards
    8
    Learners
  • Risk Management
    Risk Management

    Risk Management

    By: O B
    1.1 The global risk environment, 1.2 The importance of risk management: a stakeholder approach, 1.3 Reasons for risk management
    91
    Decks
    854
    Flashcards
    11
    Learners
  • Investment Environment
    Investment Environment

    Investment Environment

    By: Freddie Melvin
    Chapter 1 - Financial Markets and Institutions, Chapter 2 - Ethics and Investment Professionalism, Chapter 3 - The Regulation of Financial Markets and Institutions
    7
    Decks
    493
    Flashcards
    6
    Learners
  • Macro
    Macro

    Macro

    By: Ollie Brown
    Measures of Economic Performance, Aggregate Demand, UK Macro Data 2024
    5
    Decks
    117
    Flashcards
    1
    Learner
  • R01 - Financial Services, Regulation and Ethics
    R01 - Financial Services, Regulation and Ethics

    R01 - Financial Services, Regulation and Ethics

    By: Sam Cross
    Chapter 1A - Overview, Chapter 1B - UK Financial Services Structure, Chapter 1C - The Role and Structure of International Markets
    10
    Decks
    367
    Flashcards
    6
    Learners
  • LIBF - Certificate in Business Banking and Conduct
    LIBF - Certificate in Business Banking and Conduct

    LIBF - Certificate in Business Banking and Conduct

    By: James Bloor
    Corporate Responsibility and Banking Regulation, The UK Business Banking Sector, Taxation
    16
    Decks
    90
    Flashcards
    6
    Learners
  • CII R01 - Chapter 5
    CII R01 - Chapter 5

    CII R01 - Chapter 5

    By: Mia Savory
    A. UK Regulatory Landscape, B. FCA Objectives, C. Scope And Powers
    5
    Decks
    22
    Flashcards
    1
    Learner
  • 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
    Flashcards
    32
    Learners
  • BTF
    BTF

    BTF

    By: ha ha
    Chapter 2 - Managing a business, Chapter 3 - Organisational and business structures, Chapter 4 - Introduction to business strategy
    13
    Decks
    646
    Flashcards
    1
    Learner
  • 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
  • Interpreting Financial & Accounting Information
    Interpreting Financial & Accounting Information

    Interpreting Financial & Accounting Information

    By: O B
    1.1 Regulatory framework - introduction, 1.2 The need for a regulatory framework, 1.3 Agency theory and the role of corporate governance
    161
    Decks
    916
    Flashcards
    29
    Learners
  • 3. Regulation of Financial Markets and Institutions
    3. Regulation of Financial Markets and Institutions

    3. Regulation of Financial Markets and Institutions

    By: ed stringer
    International and European Union Directives, Regulation and Guidance, FCA BS: Investment Research, FCA BS - Product Governance and Disclosure Requirements
    14
    Decks
    199
    Flashcards
    3
    Learners
  • Economics Paper 2
    Economics Paper 2

    Economics Paper 2

    By: Sam Herd
    UK Growth, Unemployment, UK Inflation
    11
    Decks
    162
    Flashcards
    1
    Learner
  • FSRE - DIPFA
    FSRE - DIPFA

    FSRE - DIPFA

    By: Ned Clonan
    Topic 1 The role and structure of financial markets, Topic 2 The role of government, Topic 3 Financial services in the wider economy
    20
    Decks
    175
    Flashcards
    54
    Learners
  • CF
    CF

    CF

    By: Andreas Avraam
    Excluded activity, Glossary, 1.5 Exempt Persons
    32
    Decks
    536
    Flashcards
    2
    Learners
  • 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
    66
    Learners
  • My CeMap 1
    My CeMap 1

    My CeMap 1

    By: Joel Mitchell
    Topic 1: Introducing the Financial Industry, Topic 2: Economic policy and financial regulation, Topic 3: UK Taxation 1
    17
    Decks
    149
    Flashcards
    25
    Learners
  • R01
    R01

    R01

    By: Jemma Trezza
    Chapter 1 - The UK financial services industry: an overview, Chapter 5.1 Responsibilities and Approach to Regulation
    2
    Decks
    31
    Flashcards
    1
    Learner
  • IMC Unit 1 -Chapter 3
    IMC Unit 1 -Chapter 3

    IMC Unit 1 -Chapter 3

    By: Sam Nota
    Section 3.1 - International Regulation: EU Directives, Regulation and Guidance, Section 3.2 - UK regulation, Section 3.3 - FCA Objectives and Standards
    8
    Decks
    166
    Flashcards
    1
    Learner
  • R01
    R01

    R01

    By: Jacob Graham
    Chapter 1 - UK Financial Services (European & Global Context), Chapter 4 - Financial Services Regulation, Chapter 3 - Legal Concepts And Considerations
    4
    Decks
    79
    Flashcards
    1
    Learner
  • Interpreting Financial & Accounting Information (CGI) 2023
    Interpreting Financial & Accounting Information (CGI) 2023

    Interpreting Financial & Accounting Information (CGI) 2023

    By: Jirina Buckland
    1.1 Regulatory framework - introduction, 1.2 The need for a regulatory framework, 1.3 Agency theory and the role of corporate governance
    161
    Decks
    928
    Flashcards
    3
    Learners
  • CEMAP 1
    CEMAP 1

    CEMAP 1

    By: A Z
    CEMAP 1 TOPIC 1- Introducing the financial services industry, CEMAP 1 Topic 2- Economic policy and financial regulation, CEMAP 1 Topic 3- UK Taxation Part 1
    10
    Decks
    114
    Flashcards
    2
    Learners
  • IMC UNIT 1
    IMC UNIT 1

    IMC UNIT 1

    By: Nina Blackie
    C1 - Financial Markets & Institutions, C2 - Ethics & Investment Professionalism, C3 - Regulation of Financial Markets & Institutions
    7
    Decks
    105
    Flashcards
    2
    Learners
  • IMC Unit 1
    IMC Unit 1

    IMC Unit 1

    By: Lili Brown
    1 - Financial Markets and Intermediaries, 2 - Ethics and Investment Principles, 3 - Regulation of Financial Markets
    6
    Decks
    28
    Flashcards
    1
    Learner

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