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Financial services, regulation and ethics: RO1

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

By: Katie Vincent
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Decks in this class (11)

RO1: Chapter 1
What is a gilt,
What is a conventional gilt,
Who are gilt s issued through
30  cards
RO1: Chapter 2
What are the three main categorie...,
What are the two main pieces of i...,
What is debt consolidation
44  cards
RO1: Chapter 3
What is the major difference in t...,
What events will normally revoke ...,
What poa enables a person to carr...
43  cards
RO1: Chapter 4
Who are the uk financial authorities,
Which regulator is responsible fo...,
Who is responsible for putting in...
30  cards
RO1: Chapter 5
In what sense is the fca a reacti...,
Which uk regulatory body has spec...,
How do you calculate a far free a...
15  cards
RO1: Chapter 6
What does cobs incorporate and in...,
Why has the fca used its powers t...,
Icobs introduces three product ca...
23  cards
RO1: Chapter 7
For which regulated activities do...,
Employees of fca regulated firms ...,
What are the three stages of mone...
31  cards
RO1: Chapter 8
What does kiid stand for,
What is a kiid used for,
What are projections used for
21  cards
RO1: Chapter 9
What are fact finds used for,
If a client does not provide full...,
What are the 3 sections to a fact...
6  cards
RO1: Chapter 10
What does prin stand for,
What are the 11 principles for bu...,
If a firm becomes aware that ther...
7  cards
RO1: Chapter 11
What does it mean to be ethical i...,
What does it mean to be compliant...,
What is whistleblowing
4  cards

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Financial services, regulation and ethics: RO1

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