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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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  • 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
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    6
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  • 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
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    1
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  • 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
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    191
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    2
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  • 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
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    32
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  • BTF
    BTF

    BTF

    By: Haaaa s
    Chapter 2 - Managing a business, Chapter 3 - Organisational and business structures, Chapter 4 - Introduction to business strategy ...
    13
    Decks
    646
    Flashcards
    2
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  • Corporate Finance Regulation
    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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    1
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  • 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
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    199
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    3
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  • 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
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    35
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    97
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  • 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
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    175
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    67
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  • CF
    CF

    CF

    By: Andreas Avraam
    Excluded activity, Glossary, 1.5 Exempt Persons ...
    32
    Decks
    536
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    2
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  • 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
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    27
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  • 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
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    5
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  • 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
    5
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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
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    1
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  • 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
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    1
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  • Regulation
    Regulation

    Regulation

    By: Ellie Ricou
    Insider Dealing, Market Abuse, The Retail Distribution Review ...
    8
    Decks
    72
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    1
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  • Optional - Valuation (Red Book)
    Optional - Valuation (Red Book)

    Optional - Valuation (Red Book)

    By: Jack Robinson
    101 Red Book, 1. Generic Questions - Red Book, 2. Key changes to the Red Book Global, 2024 ...
    20
    Decks
    100
    Flashcards
    1
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  • Assurance - ICAEW
    Assurance - ICAEW

    Assurance - ICAEW

    By: Verity Russell
    1.1 - Definition, 1.2 - Levels of Assurance, 2.1 - Users ...
    68
    Decks
    419
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    1
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  • 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
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    1
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