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Decks in this class (9)
1 - The UK Financial Services Industry: An Overview
What function do banks and buildi...,
What do government s use to fund ...,
What is the principle of insuranc...
24
cards
2 - Serving the retail consumer
Disposable income 1,
Unstructured loans 2,
Structured loans 3
24
cards
3 - Laws and Legal concepts relevant to financial advice
Sole trader 1,
Traditional partnership 2,
Unincorporated business 3
29
cards
4 - The Regulation of Financial Services
What was the objective of the fsma 1,
What major change came under the ...,
What are the uk s financial autho...
22
cards
5 - Responsibilities and Approach to Regulation
Fca three operational objectives 1,
Fca eight regulatory principles 2,
Part 4a permission 3
38
cards
6 - The FCA Handbook
The threshold conditions 1,
Cond 22 2,
Cond 23 3
20
cards
8 - The regulatory advice framework
What are the fca principles for b...
1
cards
11 - Ethics and Professional Standards
What were the primary objectives ...,
Real time vs non real time promot...,
What are exempt from client agree...
7
cards
7 - Core Regulatory Principles and Rules
Exemptions to initial disclosure 1,
Fca record keeping requirements 2
2
cards
More about
CII: R01 2020-21
- Full test name CII R01 - Financial services, regulation and ethics
- Test acronym CII R01
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