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CII R01
> 5. Responsibilities & Approach to Regulation > Flashcards
5. Responsibilities & Approach to Regulation Flashcards
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CII R01
(10 decks)
8. Client Advising Skills
7. The Regulatory Advice Framework
6. Principles & Rules as Set out in the Regulatory Framework
5. Responsibilities & Approach to Regulation
4. The Regulation of Financial Services
3. Legal Concepts & Considerations Relevant to Financial Advice
2. How the Retail Consumer is Served by the Financial Services Industry
1. The UK Financial Services Industry in its European & Global Context
9. The FCA's Use of Principles & Outcomes-based Regulation to Promote Ethical & Fair Outcomes
10. Ethics & Professional Standards
