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CF
> 2.4 FCA SUPERVISION > Flashcards
2.4 FCA SUPERVISION Flashcards
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CF
(32 decks)
Excluded activity
Glossary
1.5 Exempt Persons
2.0 The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) Strategic, Operational and Statutory Objectives
2.1 The FCA's General Duties
2.1.2 The PRA's Obligations
2.1.3 The Principles of Good Regulation
2.2 The Principles for Business
2.2.1 Treating Customers Fairly (TCF)
2.3 Statements of Principle and the Code of Practice for Approved Persons
2.3.1 Statements of Principle for Approved Persons
2.3.3 Code of Practice for Statement of Principle 2
2.3.4 Code of Practice for Statement of Principle 3
2.3.5 Code of Practice for Statement of Principle 4
2.3.6 Code of Practice for Statement of Principle 5
2.3.7 Code of Practice for Statement of Principle 6
2.3.8 Code of Practice for Statement of Principle 7
2.4 FCA SUPERVISION
2.4.1 The Tools of Supervision
2.4.2 Risk diagnosis, monitoring and prevention
2.4.3 Risk-Based Approach
2.4.4 The Main Steps in Risk Assessment
2.5 Senior Management Arrangements, Systems and Controls
UK CORP GOV CODE 1.1
UK CORP GOV CODE 1.2 - The Status and Structure of the UK Corporate Governance Code
The Regulatory Environment Questions
Takeovers and Mergers Questions
The FCA Conduct of Business Sourcebook Queestions
Corporate Governance and Business Ethics Questions
The Prospectus Rules
Equity Capital Markets
The regulatory environment in the UK
