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Investment Environment

This class was created by Brainscape user Amera Hussain. Visit their profile to learn more about the creator.

By: Amera Hussain
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Decks in this class (10)

Regulatory Environment
What are the 2 features of a fund...,
What are the 4 features of a whol...,
What are the 3 features of a reta...
72  cards
Authorised and Approved Persons
What is an approved persons 1 1,
What are the 2 ways a person can ...,
In what document can guidance for...
48  cards
The Conduct of Business and Client Asset Rules
What block does code of business ...,
What is cobs 2,
What is considered a durable medi...
89  cards
Complaints and Redress
Why is redress important 3 1,
What is financial loss 2 2,
What is the internal complaints p...
22  cards
Financial Crime
Under what act is insider dealing...,
Who oversees insider dealing legi...,
What 3 types of offences does ins...
45  cards
Other Regulatory Requirements
Who is the regulator for listed c...,
What are the two lists on the lse 2,
What is the alternative for the o...
55  cards
Client Objectives and Advice
What 3 categories are clients spl...,
If an advisor does not have the k...,
How are clients assessed 3 3
52  cards
Objectives of Funds
What are the largest institutiona...,
What factors effect fund risks 2,
What document is fund objectives ...
35  cards
Tax
When is the tax year 1,
When are tax changes made 2 2,
Why are tax years important 3
62  cards
Financial Markets
What is a real asset 3 1,
What is an ordinary share 4 2,
What is a bond 4 and a bill 2 3
56  cards

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Investment Environment

  • Class purpose General learning

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