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R01: Financial Services, Regulation and Ethics

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

By: Jonathon Brand
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Decks in this class (9)

1. The UK Financial Services Industry: An Overview
What four essential functions are...,
What important function do banks ...,
What is a gilt
41  cards
2. Serving the Retail Consumer
What are some benefits to budgeti...,
What are the three types of expen...,
Define debt consolidation
122  cards
3. Laws and Legal Concepts Relevant to Financial Advice
Define sole traders,
Define a partnership,
Define limited liability partners...
58  cards
4. The Regulation of Financial Services
The current financial services re...,
The financial services and market...,
Define the financial policy commi...
34  cards
5. Responsibilities and Approach to Regulation
Define the responsibilities of th...,
What are the prudential regulatio...,
What two tools does the prudentia...
54  cards
6. The FCA Handbook
Define the fca handbook,
Define the high level standards hls,
Define the principles for busines...
64  cards
7. Core Regulatory Principles and Rules
Define the general prohibition,
Define excusions,
When does a firm have an exempt s...
16  cards
R01 - Question Bank
A bank has its own portfolio mana...,
How are uk gilts issued and trade...,
If the eu issues regulations in r...
197  cards
Roles & Definitions
Money markets,
Capital markets,
Commodity markets
43  cards

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R01: Financial Services, Regulation and Ethics

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