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Decks in this class (9)
2 - Retail Customers
Assessing needs and objectives 1,
Recommendations 5 things you shou...,
Suitability reports 7 characteris...
50
cards
3 - Legal Concepts
Power of attorney nature how long...,
Power of attorney mental capacity...,
Contract law relevance to finance...
23
cards
4 - Financial Services Regulation
Financial services and markets ac...,
Financial services act 2012 2,
Bank of england 2 core purposes 3
18
cards
5 - Regulation
Scope of regulators how businesse...,
Prudential regulation authority p...,
Prudential regulation authority p...
43
cards
6 - Regulatory Framework
Authorisation general prohibition...,
Authorisation authorisation by pr...,
Authorisation who to appeal to if...
41
cards
7 - Regulatory Advice Framework
Generic financial advice 1,
Generic financial advice 2,
Generic financial advice 3
38
cards
8 - Client Advising Skills
Gathering information 1,
Analysis 5 client demands and nee...,
Analysis attitude to risk 4 items...
3
cards
9 - Principles and Outcomes Regulation
Fca principles for business 1,
Fca principles for business 2,
Fca principles for business 3
12
cards
10 - Ethics
Ethics ethical framework 1,
Ethics useful mi 2
2
cards
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CII - R01
- Class purpose General learning
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