Brainscape's Knowledge GenomeTM


Top Flashcards (Certified)
All Flashcards

FCA conduct of business and client asset sourcebooks

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

By: Luke Harding
Start Studying

Decks in this class (10)

Section 1
Who do the conduct of business ru...,
The impact of location on cobs 2,
Website conditions enabling a fir...
5  cards
Section 2
Cobs and fca statutory objectives 1,
Client categorisation 2,
Per se professional clients 3
11  cards
Section 3
S21 fsma 2000 1,
A firm that communicates a financ...,
Exceptions 3
15  cards
Section 4
The firm information disclosure t...,
Firms that make personal recommen...,
Remuneration for the adviser 3
13  cards
Section 5
Purpose of suitability rule 1,
Suitability rule how is relevant ...,
Suitability rule give suitable ad...
13  cards
Section 6
What systems and controls must a ...,
Conflicts of interest policy 2,
What are chinese walls 3
5  cards
Section 7
What is the purpose of best execu...,
Best execution execution factors 4 2,
Best execution best execution cri...
13  cards
Section 8
Reporting channels and systems tr...,
Reporting channels and systems tr...,
Securities finance transaction re...
13  cards
SECTION 9
What is the purpose of client mon...,
What are cass 6 and cass 7 respec...,
Segregation of assets 3
11  cards
SECTION 10
Record keeping general time limits 1,
Pension contracts stakeholder pen...,
Pension transfers and opt outs fr...
9  cards

More about
FCA conduct of business and client asset sourcebooks

  • Class purpose General learning

Learn faster with Brainscape on your web, iPhone, or Android device. Study Luke Harding's FCA conduct of business and client asset sourcebooks flashcards for their William Borlase class now!

How studying works.

Brainscape's adaptive web mobile flashcards system will drill you on your weaknesses, using a pattern guaranteed to help you learn more in less time.

Learn more about spaced repetition

Add your own flashcards.

Either request "Edit" access from the author, or make a copy of the class to edit as your own. And you can always create a totally new class of your own too!

What's Brainscape anyway?

Brainscape is a digital flashcards platform where you can find, create, share, and study any subject on the planet.

We use an adaptive study algorithm that is proven to help you learn faster and remember longer....

Looking for something else?

Conduct of Business
  • 2 decks
  • 185 flashcards
  • 1 learners
Decks: Conduct Of Business, Conduct, And more!
FCA
  • 6 decks
  • 247 flashcards
  • 3 learners
Decks: Scar Tissue Burns Wounds Inflammatory, Midterm, More Midterm, And more!
Asset
  • 10 decks
  • 250 flashcards
  • 18 learners
Decks: Chapter 1 Investments Background And Iss, Chapter 5 Portfolio Theory, Formulas, And more!
Find Flashcards
Make Flashcards
Brainscape helps you reach your goals faster, through stronger study habits.
© 2025 Bold Learning Solutions. Terms and Conditions