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IOC Financial Regulation

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

By: Fraser Wright
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Decks in this class (5)

Chapter 3 - Assc Legislation and Regulation
An employee of a regulated busine...,
Under the uk bribery act 2010 how...,
Under the european union eu trans...
30  cards
Chapter 1 - Regulatory Environment
The fca s regulatory approach is ...,
Under the senior managers regime ...,
The regulator can require firms t...
15  cards
Chapter 2 - FSMA 200 and FSA 2012
What is the name given to the app...,
A firm s application for financia...,
Who does the financial conduct au...
32  cards
Chapter 5 - Complaints and Redress
Firms must have written procedure...,
What is the maximum compensation ...,
Under the financial services act ...
9  cards
Chapter 4 - FCA CoB and CA Sourcebooks
A financial promotion issued to r...,
Which of the following is a non r...,
In order for cass auditors to eff...
86  cards

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IOC Financial Regulation

  • Class purpose General learning

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