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CISI UK Financial Regulations

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

By: Bethan Parfitt
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Decks in this class (6)

1. The Regulatory Environment
Important who are the two regulat...,
What does pra stand for,
What is the fca s role
64  cards
2. The Financial Services and Markets Act 2000 and Financial Services Act 2012
Important what does general prohi...,
Important what is the maximum pen...,
If an authorised firm is conducti...
127  cards
3. Associate Legislation and Regulation
What was market abuse directive m...,
The rules on market abuse apply t...,
What is a ris
146  cards
4. The FCA's Conduct of Business and Client Assets Sourcebooks
Important what is the aim of the ...,
Important what is the impact of l...,
Important if a bank establishes a...
324  cards
5. Complaints and Redress
Important what procedures should ...,
Mem important how long do we have...,
Mem important when should the com...
37  cards
MEMORISE
Mem important how often does the ...,
Mem important q what are the 4 st...,
Mem important 3 types of work tha...
99  cards

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CISI UK Financial Regulations

  • Class purpose General learning

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