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

Decks in this class (11)

5 - Understand the financial regulator's responsibilities and approach to regulations
Pra what are they responsible for,
Fpc what are they responsible for,
Fca what are they responsible for
66  cards
7 Core Regulatory Principles and Rules
What is general prohibition,
What is breach of s19 fsma and se...,
Who does pra authorise
69  cards
2 - Serving the Retail Customer
How can expenditure be broken down,
What is dmp,
What is the transfer of property ...
103  cards
8 - The Regulatory Advice Framework
Product informationwhat are the f...,
Product information,
What are the fca rules for collec...
61  cards
1 - Understand the UK financial Services industry in its European and global context
Four functions of financial services,
Who do building socities owned by,
Who are banks owned by
23  cards
3 - Laws and Legal Concepts relevant to financial advice
What is a sole trader,
What are sole trader liable for,
What is a partnership
41  cards
4 - The Regulation of Financial Services
Fpc definition,
Pra definition,
Fca definition
52  cards
6 : FCA Handbook
What is first section of fca hand...,
What are threshold conditions the...,
Hls principles of business prin d...
82  cards
9 - Client Advising Skills
What details does a fact find inc...,
Five key demand and needs,
How is it recommended to document...
9  cards
10 - FCA Use of Principles and Outcome based regulations
Hls prin 1,
Hls prin 2,
Hls prin 3
18  cards
11 - Ethics and Professional Standards
Ethics three points to know about...,
Ethics definition,
Difference in compliance and ethics
13  cards

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R01 2023

  • Class purpose General learning

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