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Decks in this class (9)
International Regulatory Environment - 1
Models of Regulation
19
cards
International Regulatory Framework - 2
The International Approach to Regulation
27
cards
Ethics (MCQ)
According to the cfa institute co...,
Which of the following is a core ...,
The chartered institute for secur...
12
cards
The International Regulatory Environment
Chapter 1 - MCQ
22
cards
UK & International bodies
Chapter 1
18
cards
MCQ - Governance, Risk Management and Compliance
David is the ceo of a mid sized f...,
Sarah is a newly appointed compli...,
Michael is part of a compliance t...
20
cards
Chapter 2 - The Compliance Function
George is a compliance officer at...,
Lily is a director on the board o...,
Kevin a senior manager at an inve...
13
cards
Ethics Scenarios
A financial services firm promote...,
A junior investment analyst disco...,
A wealth manager aware of a pendi...
16
cards
1.5 Extra-Territorial Reach of Legislation
Chapter 1 The International Regulatory Environment
2
cards
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Global Financial Compliance
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