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Learn Uk Financial Regulations

Study Uk Financial Regulations using smart web & mobile flashcards created by top students, teachers, and professors. Prep for a quiz or learn for fun!
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  • 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
  • Cemap 1 UKFR
    Cemap 1 UKFR

    Cemap 1 UKFR

    By: boo Boo
    Topic 1 Introducing the financial services industry, Topic 2 Economic policy and financial regulation, Topic 3 UK taxation ...
    25
    Decks
    1,733
    Flashcards
    1
    Learner
  • R01
    R01

    R01

    By: James Coldwell
    Chapter 1 - UK Financial Services Overview, Exam extras, Chapter 3 - Laws And Legal Concepts ...
    7
    Decks
    377
    Flashcards
    6
    Learners
  • Ro1 Regulations And Ethics Of The Finanacial System
    Ro1 Regulations And Ethics Of The Finanacial System

    Ro1 Regulations And Ethics Of The Finanacial System

    By: Jacques Sheppard
    RO1 EEA Rules, The Context for The UK Financial Services, Consumers Needs And How To Meet Them ...
    14
    Decks
    1,180
    Flashcards
    4
    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
  • Economics Paper 2
    Economics Paper 2

    Economics Paper 2

    By: Sam Herd
    UK Growth, Unemployment, UK Inflation ...
    14
    Decks
    269
    Flashcards
    1
    Learner
  • UKFR
    UKFR

    UKFR

    By: Kelsey Phillips
    U1: T1 - INTRODUCING THE FINANCIAL SERVICES INDUSTRY, U1: T2 - ECONOMICS POLICY AND FINANCIAL REGULATION, U1: T3 - UK TAXATION I ...
    27
    Decks
    1,071
    Flashcards
    6
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  • R01 2023
    R01 2023

    R01 2023

    By: Chelsee de Niet
    The UK financial Services Industry, Serving The Retail Customer, Laws And Legal Concepts Relevant To Financial Advice ...
    12
    Decks
    292
    Flashcards
    18
    Learners
  • IMC Chapter 3
    IMC Chapter 3

    IMC Chapter 3

    By: Emily Havers
    MiFID/ MiFID II/ MiFIR, UCITS Directive/ AIFMD/ Additional, UK Regulation ...
    19
    Decks
    340
    Flashcards
    17
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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
    22
    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
    29
    Learners
  • R01 2023
    R01 2023

    R01 2023

    By: Jay Ngo
    5 - Understand the financial regulator's responsibilities and approach to regulations, 7 Core Regulatory Principles and Rules, 2 - Serving the Retail Customer ...
    11
    Decks
    537
    Flashcards
    4
    Learners
  • Econ
    Econ

    Econ

    By: Zain Mirza
    Theme 1: Introduction to markets and market failure, Theme 3.1 and 3.2: Business growth and objectives, Theme 3.3 : Revenue, costs and profits ...
    14
    Decks
    695
    Flashcards
    3
    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
  • Ciii - CF1
    Ciii - CF1

    Ciii - CF1

    By: R T
    1. Purpose & Structure Of The UK FS Industry, 2. Main Areas of Financial Advice: The Present, 3. Areas of Financial Advice: The Future ...
    12
    Decks
    127
    Flashcards
    19
    Learners
  • FSRE - Rowen
    FSRE - Rowen

    FSRE - Rowen

    By: R G
    The role and structure of financial markets, The role of government, Meeting customer needs and priorities ...
    11
    Decks
    210
    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
    11
    Learners
  • CeMap 1 (2019-2020)
    CeMap 1 (2019-2020)

    CeMap 1 (2019-2020)

    By: boo Boo
    Topic 1 - Introducing the financial services industry, Topic 2 - Economic policy and financial, Topic 3 - UK taxation Flashcards ...
    24
    Decks
    831
    Flashcards
    1
    Learner
  • UKFR
    UKFR

    UKFR

    By: Lee Stapleton
    Intro financial Services Industry, Economic Policy And Financial Regulation, UK Taxation 1 ...
    25
    Decks
    288
    Flashcards
    3
    Learners
  • IMC Unit 1
    IMC Unit 1

    IMC Unit 1

    By: Holly Noble
    Financial Markets and Institutions, Ethics and Investment Professionalism, The Regulation of Financial Markets Institutions ...
    6
    Decks
    318
    Flashcards
    1
    Learner
  • CII - R01
    CII - R01

    CII - R01

    By: Craig Robertson
    Financial industry overview, Regulation and the FCA, Legal Concepts ...
    13
    Decks
    402
    Flashcards
    3
    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
    17
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  • 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
    4
    Learners
  • CeMAP Unit 1
    CeMAP Unit 1

    CeMAP Unit 1

    By: JOSHUA SAVIDENT
    Topic 1 An Introduction To The Financial Services Industry, Topic 2: Economic Policy & Financial Regulation, Topic 3 UK Taxation ...
    18
    Decks
    1,186
    Flashcards
    9
    Learners
  • Economics general
    Economics general

    Economics general

    By: Ben Turnbull
    Behavioural economics (Micro), Consumer behaviour (Micro), Economic performance (Macro) ...
    33
    Decks
    481
    Flashcards
    2
    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
    5
    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
    8
    Learners
  • Chapter 1. Financial Markets & Institutions
    Chapter 1. Financial Markets & Institutions

    Chapter 1. Financial Markets & Institutions

    By: Vemula Shravya
    Financial Services Industry, The Main Financial Institutions, Role Of The Government ...
    30
    Decks
    217
    Flashcards
    3
    Learners
  • RO1
    RO1

    RO1

    By: Peter Ffoulkes
    RO1 - S.1 - the UK financial services industry in its European and global context, RO1 - S.2 - how the retail consumer is served by the financial services industry, RO1 - S.3 - legal concepts and considerations relevant to financial advice ...
    10
    Decks
    426
    Flashcards
    4
    Learners
  • Cemap
    Cemap

    Cemap

    By: Meg Thomas
    topic 1 - intro to financial service industry, topic 2 - economic policy and financial regulation, topic 3 - uk taxation 1 ...
    26
    Decks
    436
    Flashcards
    1
    Learner

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