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Decks in this class (23)
NOT USED ---- Textbook Chapter 1 - Financial Markets and Institutions
What are the four main functions ...,
What are example of what intermed...,
What are ways that risk is manage...
154
cards
NOT USED ---- Chapter 1 - Financial Markets and Institutions
What are the main functions of th...,
What is financial intermediation 2,
Examples of pooling and managing ...
102
cards
NOT USED -- Chapter 2 - Ethics & Investment Professionalism
What are the elements of the cfa ...,
What does the e in the cfa code o...,
What does the p in the cfa code o...
37
cards
NOT USED ---- Chapter 3 - The Regulation of Financial Markets and Institutions
Question about harmonisation of f...,
Under the markets in financial in...,
How can a firm obtain a passport ...
77
cards
Chapter 4 - Legal Concepts
Legal person vs legal personality 1,
Not learnt what did lasting power...,
What are the two types of lpa 3
36
cards
Chapter 5 - Client Advice
What are the two categories of in...,
What is the fca definition of a h...,
What is the fca definition of a c...
34
cards
Chapter 6 - Taxation in the UK
What does taxable income break do...,
Whats the personal tax free allow...,
Whats the tax free allowance on s...
80
cards
Chapter 1 - Financial Markets and Institutions Part 1
What are the main functions of th...,
What is financial intermediation 2,
Examples of pooling and managing ...
72
cards
Chapter 3 - The Regulation of Financial Markets and Institutions Part 1
Question about harmonisation of f...,
Under the markets in financial in...,
From where can a firm obtain a pa...
50
cards
Chapter 1 - Financial Markets and Institutions Part 2
What are different types of excha...,
Main risk of otc trading 2,
What are multilateral trading fac...
34
cards
Chapter 3 - The Regulation of Financial Markets and Institutions Part 2
Who are the primary uk financial ...,
What does the financial policy co...,
Who is the financial policy commi...
48
cards
Chapter 1 - Financial Markets and Institutions Part 3
What rules concern the disclosure...,
What are the requirements under t...,
What are the requirements under t...
50
cards
Chapter 3 - The Regulation of Financial Markets and Institutions Part 4
What are the types of clients wit...,
Who can apply to the fsma for aut...,
What is per se vs elective 3
48
cards
Chapter 3 - The Regulation of Financial Markets and Institutions Part 3
What are the operational objects ...,
What are the statutory objectives...,
What is the objective of the pra 3
55
cards
Chapter 3 - The Regulation of Financial Markets and Institutions Part 5
Who is the suitability obligation...,
What is the suitability assessmen...,
When do retail clients require a ...
42
cards
Chapter 3 - The Regulation of Financial Markets and Institutions Part 6
Not learnt what are the fca s pow...,
How to submit appeals against fca...,
Not learnt what are examples of o...
49
cards
Chapter 1 - Financial Markets and Institutions Additional lecture info
What is psncr in government 1,
What is dvp 2,
Not learnt what letter can be sen...
4
cards
Chapter 2 - Ethics & Investment Professionalism
What are the six elements of the ...,
What are the cfa standards of pro...,
What is the gips 3
12
cards
Chapter 1 - Hard facts
How much is stamp duty reserve ta...,
How much is the ptm levy on trans...,
When is the ex dividend date for ...
22
cards
Chapter 3 - Hard facts
What business rules apply when a ...,
Compliance with prudential rules ...,
What are the key changes from mif...
49
cards
Chapter 4 - Hard facts
What are the elements of a contra...,
How does co owners as tenants in ...,
How does co owners as joint owner...
9
cards
Chapter 5 - Hard facts
What is the fca definition of a h...,
What is the fca definition of a c...,
Blank 3
3
cards
Chapter 6 - Hard facts
Whats the personal tax free allow...,
Whats the tax free allowance on s...,
What is the tax free allowance on...
19
cards
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IMC 1
- Full test name Unspecified
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