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3. Regulation of Financial Markets and Institutions

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

By: ed stringer
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Decks in this class (14)

International and European Union Directives, Regulation and Guidance
Objectives of fsap,
Directives vertical and horizonta...,
Directives and regulations
23  cards
FCA BS: Investment Research
Investment research definition,
Investment research vs generic re...,
Arrangement for financial analysts
5  cards
FCA BS - Product Governance and Disclosure Requirements
Product governance,
Packaged retail and insurance bas...,
Priip manufacturer requirements
7  cards
FCS BS - Record Keeping and Reporting
Record keeping requirements,
Occasional reporting,
Periodic reporting
5  cards
FCA BS - Dealing and Managing
Best execution obligation,
Notion of reasonableness criteria...,
Competing venues for retail clients
8  cards
FCA BS - Identifying Client Needs
Suitability obligation,
Suitability assessment,
Suitability and type of client
13  cards
FCA BS - Financial Promotions
Fpo 2005 under the fsma,
Fpo 2005 main exemptions part iv,
Fpo 2005 part vi exemptions
23  cards
FCA BS - Client Categorisation
Definition of client,
3 types of client,
Per se professional client
9  cards
UK Regulation
Financial conduct authority fca a...,
Scope of fca activities,
Prudential regulation authority pra
22  cards
FCA: Objectives and High Level Standards
Blocks of fca handbook,
Principals for business prin 11 p...,
Senior management arrangements sy...
21  cards
Regulation of Investment Exchange
Fca and recognised investment exc...,
Boe role in financial market infr...,
Fca and boe
16  cards
FCA BS - Client Assets and Client Money Rules
Fiduciary duty,
Client money and custody assets,
Custody of client assets
20  cards
FCA Supervision and Redress
Fca supervision model three pillars,
Fca conduct categories,
Fca power and appeal
9  cards
Financial Crime
Money laundering,
Laundering process three stages,
Mlr 2017
18  cards

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3. Regulation of Financial Markets and Institutions

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