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Keith Wijeratne
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Decks in this class (18)
Chapter 1 - Models of Regulation
What are the objectives and benef...,
What are the features of a rules ...,
What are the features of a princi...
15
cards
Chapter 1 - Regulated Activites and Products
What 4 groups can regulated activ...,
What are banking activities 2,
How might two regulators in diffe...
4
cards
Chapter 1 - Approaches to Supervision
What does a risk based approach t...,
What are the factors a regulator ...,
What are rto groups 3
15
cards
Chapter 1 - The International Approach to Regulation
What is the bis 1,
Who are the clients of the bis 2,
Which organisation helps countrie...
13
cards
Chapter 1 - Exchanges, MTFs, OTFs and Systematic Internalisers
What is a rie 1,
What fca criteria does a firm hav...,
What are 4 disciplinary actions t...
31
cards
Chapter 1 - GDPR
In what ways is gdpr extra territ...,
What is something special data pr...,
What does article 28 of the gdpr ...
11
cards
Chapter 1 - Independent Banking Commission
What is the independent banking c...,
What did the icb recommend 2
2
cards
Chapter 1 - Dodd Frank
What were the overarching objecti...,
As part of dodd frank how were de...,
How did dodd frank impact credit ...
9
cards
Chapter 1 - MiFID
What were the main policy goals o...,
What were the 4 requirements mifi...,
Which operations could be passpor...
4
cards
Chapter 1 - Market Abuse Regulation (MAR)
When was the mar introduced 1,
Under what circumstances or instr...,
Which esma guidelines did mar imp...
10
cards
Chapter 1 - European Market Infrastructure Regulation
To what instruments does emir app...,
What did emir introduce 2
2
cards
Chapter 1 - Payment Services Directive 2
When was psd 2 introduced 1,
What is the aim of psd 2 2,
What does eu 2015 51 do in relati...
7
cards
Chapter 1 - Sarbanes Oxley Act
Who doe sox apply to 1,
What is the objective of sox 2,
What does section 404 of sox stip...
12
cards
Chapter 1 - UK Bribery Act 2010
Which international convention di...,
To who will the bribery act 2010 ...,
What are the 3 offences under the...
4
cards
Chapter 1 - Foreign Corrupt Practices Act (FCPA) 1977
What is the fcpa 1977 1,
What does the fcpa make illegal 2,
What sort of controls must firms ...
4
cards
Chapter 1 - Foreign Account Tax Compliance Act (FATCA) 2010
Which other piece of us legislati...,
What does fatca require 2,
Who will uk based ffis report to 3
4
cards
Chapter 1 - Anti Money Laundering Directive (AMLD)
What type of approach to money la...,
What is a dnfbp under amld 2,
Which bodies recommendations does...
4
cards
Chapter 1 - Common Reporting Standards (CRS)
What is the crs 1,
Which international convention is...,
Which other pieces of legislation...
8
cards
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GFC Chapter 1: The International Regulatory Environment
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