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R01 Jan 2020

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

By: Jennifer Barker
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Decks in this class (13)

The Uk Financial Services Industry
What is not a key element of risk...,
What is the main difference betwe...,
What method can the government us...
20  cards
Serving the retail customer
What additional elements make up ...,
What are the two key pieces of in...,
Why should an adviser exercise ca...
39  cards
Laws & legal concepts relevant to financial advice
Britannia carpets is the business...,
Can each partner of a firm be hel...,
Why would a llp limited liability...
28  cards
The regulation of financial services
Following the implementation of t...,
Following the dispanding of the f...,
What is the function of the stand...
23  cards
The UK financial regulators
What is the three charateristics ...,
Whats is the purpose of the fpc,
What are the three fca objectives
44  cards
The FCA Handbook
Describe the high level content o...,
What is the definition of high le...,
What are the threshold conditions...
35  cards
Principles and rules set in the regulatory framework
What is the meaning of general pr...,
What is the maximum penalty under...,
Why are many solicitors and accou...
33  cards
The regulatory advice framework
What information is contained in ...,
What information is contained in ...,
What information is contained in ...
40  cards
Client advising skills
What key information must be give...,
What is the information sheet pro...,
What policy information should a ...
19  cards
The FCA use of principles and outcome based regulation
What are the 11 fca prins princip...,
If a firm fails to be able to dem...,
Describe obr outcome based regula...
17  cards
Ethical and professional standards
What are the five developments in...,
What professional standards did r...,
What are the four components of a...
11  cards
Exam Questions
Which body sets interest rates in...,
Mohammed is concerned about how h...,
John and janet owned a property a...
136  cards
Exam Questions part 2
Tom is th chief risk officer for ...,
Mo suffered a loss from an author...,
A product provider must report pe...
69  cards

More about
R01 Jan 2020

  • Class purpose General learning

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