1
Q
The rules on adviser charging apply to what category of investment products
A
Retail (PRIIPs)
2
Q
What categories of investment products are not included in the rules for adviser charging
A
General and protection-only business (Non-PRIIPs)
FSRE - Josh
flashcards
Decks in class (19)
# Cards
-
Topic 1 - The role and structure of financial markets25
-
Topic 2 - The role of the Government21
-
Topic 3 - Meeting customers needs and priorities39
-
Topic 4 - Important legal principles37
-
Topic 5 - Wills, intestacy and trusts29
-
Topic 6 - The development of UK financial services regulation38
-
Topic 7 - The PRA and FCA responsibilities and approach to regulation35
-
Topic 8 - Fair and ethical outcomes for customers51
-
Topic 9 - The advice process and adviser skills34
-
Topic 10 - The regulatory advice framework38
-
Topic 11 - Ethical principles and professional behaviour31
-
FCA Principles of business11
-
Individual conduct rules - SM&CR5
-
Senior manager rules - SM&CR4
-
FCA and PRA principles of regulation and co-operation1
-
Record keeping requirements4
-
PRIIPs/Non-PRIIPs2
-
Adviser charging2
-
test0
