Learn Financial Services, Regulation And Ethics

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  • The Regulation and Ethics of the South African Financial Markets
    The Regulation and Ethics of the South African Financial Markets

    The Regulation and Ethics of the South African Financial Markets

    By: Ané Venter
    Chapter 1: Regulation and the role of various regulators, Chapter 2: The Financial Markets Act, 2013, Chapter 3: Credit Rating Services Act...
    9
    Decks
    173
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    3
    Learners
  • Certified Financial Planner (Nov 2023)
    Certified Financial Planner (Nov 2023)

    Certified Financial Planner (Nov 2023)

    By: David Giles
    A.3 Function, purpose, and general structure of financial institutions, A. Professional Conduct and Regulation (8%), A.1 CFP Board’s Code of Ethics and Standards of Conduct...
    6
    Decks
    82
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    8
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  • A. Professional Conduct and Regulation
    A. Professional Conduct and Regulation

    A. Professional Conduct and Regulation

    By: Neil Knight
    CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct, CFP Board's Financial Planning Practice Standards, CFP Board's Disciplinary Rules and Procedures...
    7
    Decks
    70
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    6
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  • Financial Services Diploma UK Regulation and Ethics
    Financial Services Diploma UK Regulation and Ethics

    Financial Services Diploma UK Regulation and Ethics

    By: Harry Holt
    FCRE Structure of Fin Mkts
    1
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    139
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    12
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  • R01 Financial Services Regulation & Ethics
    R01 Financial Services Regulation & Ethics

    R01 Financial Services Regulation & Ethics

    By: David Landi
    Mortgages, Life Assurance, Sickness & Health Insurance...
    4
    Decks
    43
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    12
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  • CISI: International Introduction to Securities & Investment
    CISI: International Introduction to Securities & Investment

    CISI: International Introduction to Securities & Investment

    By: Jasmine Curtis
    Chapter 1: The Financial Services Sector, Chapter 2: The Economic Environment, Chapter 3: Financial Assets and Markets...
    9
    Decks
    33
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    11
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  • Banking
    Banking

    Banking

    By: Kate Gormanly
    Financial Services and Savings, Insurance and Intermediation, Regulation...
    7
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    75
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    1
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  • Audit
    Audit

    Audit

    By: push iyer13
    Audit - Independent MCQs & Integrated Case Study, SQC 1 - Quality Control for Firms that Perform Audits & Reviews of Historical Financial Information & Other Assurance & Related Service Engagements, SA 200 – Overall Objectives of the Independent Auditor and Conduct of an Audit in accordance with SA...
    40
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    208
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    3
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  • General Principals
    General Principals

    General Principals

    By: Paige Gordon
    Sec. 1 - Ch.2: Standards & Ethics, Sec. 1 - Ch.3: Financial Statements & Cash Flow, Sec. 1 - Ch.5: Financial Institutes...
    8
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    117
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    1
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  • R01 Financial Services, Regulation And Ethics
    R01 Financial Services, Regulation And Ethics

    R01 Financial Services, Regulation And Ethics

    By: Laura Tennant
    Chapter 1
    1
    Decks
    39
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    4
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  • IISI
    IISI

    IISI

    By: Anika Ngai
    C1: Introduction to the Financial Services Sector, C2: The Economic Environment, C3: equities/stocks...
    10
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    412
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    1
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  • Intro to FP
    Intro to FP

    Intro to FP

    By: Susanna Pinto
    1 Basic Economic Concepts, 2 Time Value of Money, 3 Business Law...
    15
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    16
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    1
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