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Karim Mostafa
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Decks in this class (11)
Chapter 1 Summary Points
Chapter 1 the uk financial servic...,
12 the role and structure of the ...,
The impact of the financial servi...
6
cards
Chapter 2: How the retail consumer is served by the financial services industry
Chapter 2 how the retail consumer...,
212 assessing needs and circumsta...,
22 prioritising and meeting custo...
23
cards
Chapter 3: Legal concepts and considerations relevant to financial advice
Chapter 3 legal concepts and cons...,
Summary of legal concepts 2,
Debt procedures cont 3
14
cards
Chapter 4: Financial services regulation
41 uk financial services regulati...,
413 the financial services act 20...,
42 current uk financial services ...
10
cards
Chapter 5: UK financial services regulators PART A
Chapter 5 number of questions 29 ...,
5a11 financial policy committee f...,
Pra cont pra s approach to regula...
12
cards
Chapter 5: UK financial services regulators PART B
Chapter 5 b fca handbook 1,
5b11 block 1 high level standards...,
Cond threshold conditions 3
20
cards
Chapter 6: Principles and rules as set out in the regulatory framework
61 regulatory processes authorisa...,
612 authorised and exempt status 2,
Certain bodies types of company f...
24
cards
Chapter 7: The regulatory advice process
71 regulators and the approach to...,
713 the money advice service mas 2,
715 the retail distribution revie...
20
cards
Chapter 8: Client advising skills
81 adviser communications with cl...,
82 fact finding establish all the...,
8 3 assessment and analysis of cl...
5
cards
Chapter 9: FCA Principles and outcome-based regulation
91 fca principles for businesses ...,
The principles in practise 2,
913 outcomes based regulation obr 3
12
cards
Chapter 10: Ethics and professional standards
101 ethical behaviours in financi...,
1012 the bribery act 2010 2,
102 putting ethics into practice 3
8
cards
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R01 Karim
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