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Decks in this class (7)
Unit 1 (Glossary)
Aggregation 1,
Allocation 2,
Ancillary services 3
135
cards
Unit 1 - 1. The Regulatory Environment
Note why fsma2000 came about how ...,
What does the fca do unit 1 1 the...,
What is general prohibition 3
36
cards
Unit 1 - 2. The Financial Services and Markets Act 2000 and Financial Services Act 2012
The general prohibition 1,
Prohibition orders unit 1 2 the f...,
Specified investments of the rao ...
25
cards
Unit 1 - 3. Associated Legislation and Regulation
Market abuse and mad and uk mar 1,
The fca market conduct handbook g...,
Inside information and insider de...
41
cards
Unit 1 - 4. The FCA's Conduct of Business and Client Assets Sourcebooks
Application and general provision...,
Activities subject to cobs 2,
Appointed representatives cobs 3
45
cards
Unit 1 - 5. Complaints and Redress
Complaint procedures disp record ...,
Eligible complainants 2,
Po and ppf unit 1 5 complaints an...
7
cards
Unit 1 - Extra
Firm xyz is an authorised person ...,
A firm is able to execute a clien...,
Which one of the following conduc...
90
cards
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CISI Unit 1
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