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  • Chapter 3 - Regulation of financial markets and institutions
    Chapter 3 - Regulation of financial markets and institutions

    Chapter 3 - Regulation of financial markets and institutions

    By: Tunji Adeniyi
    3.2: UK REGULATION, 3.3: FCA: OBJECTIVES AND HIGH-LEVEL STANDARDS, 3.4: REGULATION OF INVESTMENT EXCHANGES ...
    7
    Decks
    99
    Flashcards
    1
    Learner
  • Physiology for Anaesthetists
    Physiology for Anaesthetists

    Physiology for Anaesthetists

    By: Charles Pryce
    Cell biology, General organization of the body, Genetics and Ageing ...
    61
    Decks
    1,719
    Flashcards
    8
    Learners
  • Family Court Act
    Family Court Act

    Family Court Act

    By: Steve Blank
    Article 1, Article 2, Article 3 ...
    21
    Decks
    490
    Flashcards
    59
    Learners
  • UK FINANCIAL REGULATION
    UK FINANCIAL REGULATION

    UK FINANCIAL REGULATION

    By: Ma Sha
    All definitions, OTHER DIRECT INVESTMENTS, COLLECTIVE INVESTMENTS ...
    18
    Decks
    288
    Flashcards
    144
    Learners
  • CII - IF1 (Chapter 5 - Good Faith)
    CII - IF1 (Chapter 5 - Good Faith)

    CII - IF1 (Chapter 5 - Good Faith)

    By: katy mainwaring
    Principle of utmost good faith, Impact of FCA/legislation on utmost good faith, Material Facts ...
    4
    Decks
    47
    Flashcards
    7
    Learners
  • CeMAP 1 (Unit two)
    CeMAP 1 (Unit two)

    CeMAP 1 (Unit two)

    By: Grace Barritt
    Topic 17 (The FCA's aims and activities), Topic 18 (Regulating firms and individual), Topic 19 (Prudential supervision) ...
    9
    Decks
    192
    Flashcards
    116
    Learners
  • Clerk Training Decks
    Clerk Training Decks

    Clerk Training Decks

    By: C P
    FCA 10, FCA 10 TRAINING NOTES, FCA ART 3 VOLUME 1 MASTER
    3
    Decks
    221
    Flashcards
    2
    Learners
  • R01: Financial Services, Regulation and Ethics
    R01: Financial Services, Regulation and Ethics

    R01: Financial Services, Regulation and Ethics

    By: Jonathon Brand
    1. The UK Financial Services Industry: An Overview, 2. Serving the Retail Consumer, 3. Laws and Legal Concepts Relevant to Financial Advice ...
    9
    Decks
    629
    Flashcards
    19
    Learners
  • CISI Unit 1
    CISI Unit 1

    CISI Unit 1

    By: Laurence Jones
    Unit 1 (Glossary), Unit 1 - 1. The Regulatory Environment, Unit 1 - 2. The Financial Services and Markets Act 2000 and Financial Services Act 2012 ...
    7
    Decks
    379
    Flashcards
    48
    Learners
  • CF
    CF

    CF

    By: Andreas Avraam
    Excluded activity, Glossary, 1.5 Exempt Persons ...
    32
    Decks
    536
    Flashcards
    2
    Learners
  • CII: R01 2020-21
    CII: R01 2020-21

    CII: R01 2020-21

    By: Lucie Sudworth
    1 - The UK Financial Services Industry: An Overview, 2 - Serving the retail consumer, 3 - Laws and Legal concepts relevant to financial advice ...
    9
    Decks
    167
    Flashcards
    43
    Learners
  • R01 Chapter 5A: Responsibilities and approach to regulation
    R01 Chapter 5A: Responsibilities and approach to regulation

    R01 Chapter 5A: Responsibilities and approach to regulation

    By: Lauren Tall
    5A.1 The Financial Services Act 2012, 5A.2 FCA - The basics, 5A.3 FCA divisions ...
    4
    Decks
    272
    Flashcards
    2
    Learners
  • R01 2023
    R01 2023

    R01 2023

    By: Jay Ngo
    5 - Understand the financial regulator's responsibilities and approach to regulations, 7 Core Regulatory Principles and Rules, 2 - Serving the Retail Customer ...
    11
    Decks
    537
    Flashcards
    3
    Learners
  • CeMAP 1 - BigBoyPritch
    CeMAP 1 - BigBoyPritch

    CeMAP 1 - BigBoyPritch

    By: Rhys Pritchard
    Endowments, Inheritance Tax, State Benefits ...
    10
    Decks
    228
    Flashcards
    8
    Learners
  • IAD Level 1
    IAD Level 1

    IAD Level 1

    By: Helen Chua
    Chapter 1: The UK Financial Services Sector, Chapter 2: UK Financial Services and Consumer Relationships, Chapter 3: UK Contract and Trust Legislation ...
    17
    Decks
    369
    Flashcards
    3
    Learners
  • mortgages types / types of borrowers
    mortgages types / types of borrowers

    mortgages types / types of borrowers

    By: Andrew McKechnie
    WEEK 6: mortgage types / types of borrowers, mortgage associated products WEEK 9, mortgage regulation WEEK 11 ...
    6
    Decks
    101
    Flashcards
    2
    Learners
  • Cemap unit 1
    Cemap unit 1

    Cemap unit 1

    By: Molly Hill
    unit 1 into to financial services, unit 1 topic 2- economic policy, Unit 1 topic 3 - Taxation ...
    25
    Decks
    818
    Flashcards
    947
    Learners
  • CII R01 - Chapter 5
    CII R01 - Chapter 5

    CII R01 - Chapter 5

    By: Mia Savory
    A. UK Regulatory Landscape, B. FCA Objectives, C. Scope And Powers ...
    5
    Decks
    22
    Flashcards
    2
    Learners
  • VJC Resources 2023
    VJC Resources 2023

    VJC Resources 2023

    By: Antoinette Moore
    FCA, CPLR 3, CPLR 11 ...
    6
    Decks
    466
    Flashcards
    1
    Learner
  • UK Financial Regulation
    UK Financial Regulation

    UK Financial Regulation

    By: Jennie Acharjee
    FCA's COBS & CASS, Regulatory Environment, FSMA 2000 & Financial Services Act 2012 ...
    5
    Decks
    49
    Flashcards
    10
    Learners
  • DipFA - FSRE (22/23)
    DipFA - FSRE (22/23)

    DipFA - FSRE (22/23)

    By: George Farley
    1. Role And Structure Of Financial Markets, 2. The Role Of Government, 3. Customer Needs ...
    11
    Decks
    174
    Flashcards
    3
    Learners
  • CISI
    CISI

    CISI

    By: Shade Oyewole
    Unit 1 - The Regulatory environment, Unit 2 - FSMA and FSA, Unit 3 - Association and Legislation ...
    5
    Decks
    225
    Flashcards
    5
    Learners
  • LT Test
    LT Test

    LT Test

    By: Daniel T
    Penal Law, Case Law, Other Laws ...
    11
    Decks
    360
    Flashcards
    1
    Learner
  • CeMap
    CeMap

    CeMap

    By: space man
    Unit 1 Topic 1 - Introducing the financial services industry, Unit 1 Topic 2 - Economic policy and financial regulation, Unit 1 Topic 3 - UK taxation I ...
    25
    Decks
    781
    Flashcards
    577
    Learners
  • Cemap1 unit 1 and 2
    Cemap1 unit 1 and 2

    Cemap1 unit 1 and 2

    By: Keesha Anderson
    1. Introduction to financial services, 2. Economic Policy and financial regulation, 3. UK Taxation 1 ...
    25
    Decks
    334
    Flashcards
    65
    Learners
  • Regulation & Compliance Chapter 1, 2 & 4
    Regulation & Compliance Chapter 1, 2 & 4

    Regulation & Compliance Chapter 1, 2 & 4

    By: Luke O'Mahoney
    Overview of UK Financial Services Regulation, Regulated Activities, Authorisation and MIFID, Penalties for breaching FSMA 2000 & Collective Invest Scheme ...
    14
    Decks
    240
    Flashcards
    4
    Learners
  • IMC IE Chapter 1
    IMC IE Chapter 1

    IMC IE Chapter 1

    By: Serena Asante
    IMC Chapter 1, IMC Chapter 1 - 1.4 - The FCA, IMC Chapter 1 - 1.3 - The Regulatory Environment ...
    4
    Decks
    128
    Flashcards
    1
    Learner
  • FSRE - DIPFA
    FSRE - DIPFA

    FSRE - DIPFA

    By: Ned Clonan
    Topic 1 The role and structure of financial markets, Topic 2 The role of government, Topic 3 Financial services in the wider economy ...
    20
    Decks
    175
    Flashcards
    61
    Learners
  • JW - CeMap 1 (2019/2020)
    JW - CeMap 1 (2019/2020)

    JW - CeMap 1 (2019/2020)

    By: J W
    Unit 1: Introduction to the Financial Services Environment and Products - Topic 1 - Introducing the financial services industry, Unit 1 - Topic 2 - Economic policy and financial regulation, Unit 1 - Topic 3 - UK taxation ...
    25
    Decks
    851
    Flashcards
    260
    Learners
  • UK Regulation and Professional Integrity
    UK Regulation and Professional Integrity

    UK Regulation and Professional Integrity

    By: joshua hale
    Glossary, Chapter 1 The UK Financial Services Sector, Chapter 2 UK Financial Services and Consumer Relationships ...
    12
    Decks
    148
    Flashcards
    8
    Learners

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