FSRE - DIPFA Flashcards

Decks in this Class (20):

• Topic 1 The Role And Structure Of Financ

  Topic 1 The role and structure of financial markets

  Sample Cards:

  1 money must have certain properties in,

  2 what are the six main functions of the,

  3 which two opposing groups take part in
  19 Cards
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• Topic 2 The Role Of Government

  Topic 2 The role of government

  Sample Cards:

  1 what are the two main functions of the,

  2 what are the main economic objectives,

  3 what is fiscal policy what are three m
  13 Cards
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• Topic 3 Financial Services In The Wider

  Topic 3 Financial services in the wider economy

  Sample Cards:

  1 which two groups of people are linked,

  2 how does the ownership of a bank diffe,

  3 describe in one sentence how credit un
  5 Cards
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• Topic 4 Industry Obligations To The Cust

  Topic 4 Industry obligations to the customer

  Sample Cards:

  1 explain the difference between a retai,

  2 focused advice occurs when the adviser,

  3 a staff member who provides focused ad
  4 Cards
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• Topic 5 Types Of Customers And Their Nee

  Topic 5 Types of customers and their needs

  Sample Cards:

  1 explain the key differences between a,

  2 bob bought shares in wonder ltd two ye,

  3 which demographic group tends to be th
  4 Cards
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• Topic 6 Meeting Customers Needs Protecti

  Topic 6 Meeting customers’ needs: protection

  Sample Cards:

  1 what are the two main factors that aff,

  3 list three medical conditions commonly,

  4 diane s employer offers private medica
  8 Cards
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• Topic 7 Meeting Customers Needs Savings

  Topic 7 Meeting customers’ needs: savings and investment

  Sample Cards:

  in order to achieve a real return an inv,

  what are the two main risks facing someo,

  3 list three benefits of collective inve
  10 Cards
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• Topic 8 Meeting Customers Needs Retireme

  Topic 8 Meeting customers’ needs: retirement and estate planning

  Sample Cards:

  statistics show that 80 per cent of peop,

  amelie earns 35 000 as a sales manager w,

  aisha was born on 1 january 1961 what is
  10 Cards
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• Topic 9 Meeting Customers Needs Borrowin

  Topic 9 Meeting customers’ needs: borrowing

  Sample Cards:

  1 which type of mortgage guarantees to r,

  2 what risks might face a borrower with,

  3 why might a capped rate mortgage be be
  4 Cards
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• Topic 10 Regulatory Authorities In The U

  Topic 10 Regulatory authorities in the UK

  Sample Cards:

  1 under the fsma 2000 there were three k,

  2 the financial services and markets act,

  3 briefly describe the role of each of t
  5 Cards
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• Topic 11 International Regulation

  Topic 11 International regulation

  Sample Cards:

  1 explain the minimum capital adequacy r,

  2 under the capital requirements directi,

  3 which of the following two statements
  6 Cards
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• Topic 12 The Fca S Responsibilities And

  Topic 12 The FCA’s responsibilities and approach to regulation

  Sample Cards:

  1 list the four fca regulatory objective,

  2 how does the fca categorise firms in t,

  3 what is the difference between the rul
  10 Cards
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• Topic 13 Principles And Rules Of The Fca

  Topic 13 Principles and rules of the FCA Conduct of Business Sourcebook

  Sample Cards:

  1 the fca requires that financial promot,

  2 a firm is considering making cold call,

  3 what are the two ways in which financi
  10 Cards
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• Topic 14 Money Laundering Data Protectio

  Topic 14 Money laundering, data protection and complaints procedures

  Sample Cards:

  1 list and explain the three principal m,

  2 what is the individual transaction lev,

  3 what are the two money laundering offe
  9 Cards
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• Topic 15 Important Legal Principles

  Topic 15 Important legal principles

  Sample Cards:

  1 in terms of liability for business deb,

  2 what is the main difference between an,

  3 explain the terms apparent authority a
  7 Cards
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• Topic 16 Wills Intestacy And Trusts

  Topic 16 Wills, intestacy and trusts

  Sample Cards:

  1 explain what is meant by a testator s,

  2 what is the legal position regarding w,

  3 leilani wants to make a few small chan
  12 Cards
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• Topic 17 Understanding Risk

  Topic 17 Understanding risk

  Sample Cards:

  1 explain the difference between pure ri,

  2 what is the difference between the amo,

  3 identify four financial risks that a b
  10 Cards
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• Topic 18 Managing Risk

  Topic 18 Managing risk

  Sample Cards:

  1 against what type of risk is insurance,

  2 explain how risk based management work,

  3 explain the difference between risk re
  9 Cards
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• Topic 19 Gathering Information From The

  Topic 19 Gathering information from the client

  Sample Cards:

  1 what are the five broad areas of an in,

  2 how are the fca s know your customer k,

  3 what information should an adviser col
  10 Cards
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• Topic 20 Addressing The Client S Needs

  Topic 20 Addressing the client’s needs

  Sample Cards:

  1 what is the normal order of priority f,

  2 alan s client themba stated that he wa,

  3 what are the key points that would be
  10 Cards
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