This class was created by Brainscape user George Farley. Visit their profile to learn more about the creator.
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George Farley
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Decks in this class (11)
1. Role And Structure Of Financial Markets
Name the 4 asset classes,
What are the characteristics of m...,
What are the 6 roles of the bank ...
12
cards
2. The Role Of Government
What are the government s 2 main ...,
What are the 4 main objectives of...,
How can a bop deficit be corrected
25
cards
3. Customer Needs
What is the hierarchy of financia...,
What products are partnerships in...,
What are the 8 fca expectations o...
18
cards
4. Legal Principles
How are partners in a partnership...,
What is the required structure of...,
What are the 4 key personal repre...
14
cards
5. Wills & Trusts
What are the requirements for a t...,
What are the requirements for a v...,
What are the other features shoul...
18
cards
6. Development Of Regulation
What was the main impact of finan...,
What was the main impact of finan...,
What was the main impact of bank ...
15
cards
7. FCA And PRA
What are the pras 3 statutory obj...,
What is the fca s strategic objec...,
What are the fca s 3 operational ...
16
cards
8. Fair And Ethical Outcomes For Customers
What are the fca s 11 high level ...,
What are the 6 outcomes of fair t...,
What are the 4 outcomes of the ne...
22
cards
9. Advice Process And Adviser Skills
What are the main objectives of a...,
What are the 11 know your custome...,
What are the 5 categories of risk...
10
cards
10. The Regulatory Advice Framework
What are the 3 customer categorie...,
What are the 4 drivers of vulnera...,
What are the 3 main fiduciary dut...
16
cards
11. Ethical Principles And Professional Behaviour
Define values morals and ethics,
What are the 2 types of ethics of...,
Define ethical egoism
8
cards
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dipfa - fsre
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