This class was created by Brainscape user Josh Freire-Mckinnell. Visit their profile to learn more about the creator.
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Decks in this class (18)
Topic 1 - The role and structure of financial markets
What are building societies,
What services do banks and buildi...,
What is the difference between pr...
25
cards
Topic 2 - The role of the Government
Name the 5 direct taxes,
Give the main example of both ind...,
Who is responsible for tax and wh...
21
cards
Topic 3 - Meeting customers needs and priorities
What are the 3 broad categories o...,
In terms of the financial life cy...,
In terms of the financial life cy...
39
cards
Topic 4 - Important legal principles
Describe a legal persons,
What body must companies be regis...,
Main features of a public limited...
37
cards
Topic 5 - Wills, intestacy and trusts
What is the definition of a will,
What are the 4 parties in a will,
Requirements for a will to be valid
29
cards
Topic 6 - The development of UK financial services regulation
What are the 3 core objectives of...,
What are the 2 categories of regu...,
In terms of regulation timeline w...
38
cards
Topic 7 - The PRA and FCA responsibilities and approach to regulation
What are the 3 elements are there...,
What principles of regulation mus...,
What types of institutions are th...
35
cards
Topic 8 - Fair and ethical outcomes for customers
What are the fca s 11 principles ...,
What is cobs 21 and what does it ...,
What did the fair treatment of cu...
51
cards
Topic 9 - The advice process and adviser skills
Name the,
What is the name of the requireme...,
The fca does not set a structure ...
34
cards
Topic 10 - The regulatory advice framework
What is an eligible counterparty ...,
What is a professional client,
What is a retail client
38
cards
Topic 11 - Ethical principles and professional behaviour
Give the definition of values,
What are the different types of v...,
Give the definition of morals
31
cards
FCA Principles of business
Rule 1,
Rule 2,
Rule 3
11
cards
Individual conduct rules - SM&CR
Rule 1,
Rule 2,
Rule 3
5
cards
Senior manager rules - SM&CR
Sc1,
Sc2,
Sc3
4
cards
FCA and PRA principles of regulation and co-operation
What are they there are 8 principles
1
cards
Record keeping requirements
Life policies pension contracts,
Pension transfers opt outs,
Mifid related business investment...
4
cards
PRIIPs/Non-PRIIPs
Non priips,
Priips
2
cards
Adviser charging
The rules on adviser charging app...,
What categories of investment pro...
2
cards
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FSRE - Josh
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