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Charlotte Scott
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Decks in this class (15)
Protection & Insurance
What is mortality risk 1,
What is level term assurance 2,
What is decreasing term assurance 3
18
cards
Types Of Client & Business
What are the 4 categories of clie...,
What is a retail client 2,
What is an elective professional ...
15
cards
Regulatory Advice Process
When must a suitability report be...,
What must a suitability report sp...,
Which investments have a 14 day c...
6
cards
The UK Financial Services
What are the 3 european supervisi...,
What does the european central ba...,
What does the european systematic...
18
cards
How The Customer Is Served
What is the hierarchy of needs 1,
What are priority debts 2,
What are the circumstances for a ...
54
cards
Legal Concepts And Considerations
What is a sole trader 1,
What is a partnership 2,
What is a limited company 3
15
cards
Financial Services Regulation
What authorisation firms did the ...,
Which act did the financial servi...,
What is the main purpose of the f...
17
cards
Current UK Regulatory Landscape
What are the 3 objectives of the ...,
What are the two objectives of th...,
What does the pra regulate 3
17
cards
FCA Handbook
What does block 1 of the handbook...,
What is a fee block 2,
What are the 3 fca fees 3
16
cards
Principles And Rules
What does general prohibition sta...,
What are the categories of a desi...,
Who is exempt from part 4a permis...
12
cards
Regulatory Advice Process
What was the primary objective of...,
What are the 5 core functions of ...,
What are the 6 positive consumer ...
13
cards
Client Advising Skills
What is financial advice 1,
How should an adviser gather hard...,
How should an adviser gather soft...
5
cards
FCA Principles
What are the 11 fca principles 1,
What happens if principles are br...,
What are outcome based regulations 3
4
cards
Ethics And Professional Standards
What is the key aim of the senior...,
What is whistle blowing 2,
What is corporate social responsi...
4
cards
Exam Questions
What is the support for mortgage ...,
How must contract terms be set ou...,
What is the maximum pensions regu...
5
cards
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R01 CS
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