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IOC - UK financial reg

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

By: Mark Patching
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Decks in this class (6)

IOC - UK Reg CH 1 - Regulatory Environment
1 who are the two regulators that...,
2 to which government body is the...,
3 what are the statutory objectiv...
22  cards
IOC - UK Reg CH 2 - FSMA 2000 - FSA 2012
1 is a bank deposit a specified i...,
2 does a firm that accepts deposi...,
3 is a market maker required to b...
20  cards
IOC - UK Reg CH 3 - Associated Legislation and Regulation
1 what is market abuse,
2 name two types of behaviour tha...,
3 how does the fca provide guidan...
32  cards
UK Reg CH 4 - The FCA's Conduct of Business and Client Assets Sourcebooks
1 what is the impact of location ...,
2 what activities are subject to ...,
3 which cobs rules are disapplied...
32  cards
IOC - UK Reg CH 5 - Complaints and Redress
1 how must a firm publicise its c...,
2 what procedures should be inclu...,
3 list the types of eligible comp...
12  cards
Test questions in book
1 which of the following is one o...,
2 appeals against fca decisions a...,
3 all of the following are operat...
75  cards

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IOC - UK financial reg

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