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Investment Environment

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

By: Maria Kassapi
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Decks in this class (10)

Conduct of business and client asset rules
Cobs is in which block f the fca ...,
Cobs is for what type of business,
What is the clients best interest...
67  cards
authorised and approved persons
What do uk firm require to be gra...,
How can eea firms be granted auth...,
What are the hthreshold condition...
43  cards
the regulatory environment
Prudential regulation authority o...,
Financial conduct authority overl...,
Pra fca
46  cards
complaints and redress
Response for a complaint must be ...,
How long does the complainant hav...,
Complaint summary report is sent ...
15  cards
financial crime
Insider dealing prosecuted under,
Market abuse,
Misleading statement and impressi...
27  cards
other regulatory requirements
Fca as ukla,
Exemptions to prospectus rules,
Conditions from premium listing
40  cards
client objectives and advice
Sequence of financial planning pr...,
Fact find,
Investment policy statement
36  cards
objectives of funds
Funds that aim to maximise returns,
Funds that aim to meet liabilities,
Types of fund investment trust co...
31  cards
financial markets
Broker dealers dual capacity means,
Sbli,
Idb
75  cards
taxation
Self assesment tax return deadlin...,
Self employed paying less than 80...,
Automatic oversees resident 1 fir...
75  cards

More about
Investment Environment

  • Class purpose General learning

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