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R G
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Decks in this class (11)
The role and structure of financial markets
The four main asset classes 1,
Disadvantages of cash x2 2,
Benefits of bonds gilts x3 3
23
cards
The role of government
The 2x main functions of the gove...,
The government s 4x objectives 2,
How can the government correct a ...
26
cards
Meeting customer needs and priorities
What are the 7x financial life cy...,
Hierarchy of financial needs x6 2,
As well as personal needs self em...
23
cards
Important legal principles
The 3x types of companies as sepa...,
Who is the trust settlor 2,
Who are trustees 3
15
cards
Wills, intestacy and trusts
A valid will must x5 1,
Unlike a mirror will a mutual wil...,
Under intestacy what people are n...
13
cards
The development of UK financial services regulation
Professor david llewellyn identif...,
Define prudential regulation 2,
Define conduct of business regula...
19
cards
The PRA and FCA responsibilities and approach to regulation
The 4x statuatory objectives of t...,
All firms are subject to a standa...,
What is the fca s strategic objec...
24
cards
Fair and ethical outcomes for customers
What are the fca s 12x principles...,
What are the 3x key elements to t...,
Regarding a firm s culture the fc...
23
cards
The advice process and adviser skills
What are the 4x basic stages in t...,
What are the 7x categories of a c...,
Advisers must identify a customer...
12
cards
The regulatory advice framework
What 4x categories of customer ty...,
In 2018 the fca made changes to t...,
Investment advice can only be giv...
20
cards
Ethical principles and professional behaviour
Values vs morals vs ethics 1,
What is greenwashing 2,
What are the 3x sub theories of n...
11
cards
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FSRE - Rowen
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