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Regulation & Compliance Chapter 1, 2 & 4

This class was created by Brainscape user Luke O'Mahoney. Visit their profile to learn more about the creator.

By: Luke O'Mahoney
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Decks in this class (14)

Overview of UK Financial Services Regulation
The tripartite authorities roles,
Issues with the tripartite arrang...,
Further weaknesses of tripartite ...
23  cards
Regulated Activities, Authorisation and MIFID
General prohibition,
Prohibition order,
Specified activities can be divid...
29  cards
Penalties for breaching FSMA 2000 & Collective Invest Scheme
Fsma penalties authorisation offe...,
Section 23 unauthorised regulated...,
Section 24 false claim to be auth...
15  cards
The FCA Handbook
Fca handbook structure,
Fca handbook provisions
2  cards
High Level Standards - FIRMS & Individuals
High level standards for firms su...,
High level standards for individu...,
Principles for businesses prin fc...
19  cards
COBS 1, 2 & 3
Cobs 1 detail,
Cobs 3 name,
Cobs 1 name
15  cards
COBS 4 & 5
Cobs 4 name,
Financial promotions intro,
Financial promotion definition
19  cards
Investment Advice/ COBS 9, 10 & 11
Rdr,
What did rdr achieve,
Famr
23  cards
Investment Research + COBS 16
Investment research,
Cobs 16 name,
Transaction confirmations
7  cards
Other High - Level Standards
Sysc,
Purpose of sysc,
Sysc 4 5 name
23  cards
Client Asset Regulations
Cass 6 name,
Cass 7 name,
Purpose of client money custody r...
16  cards
Enforcement and Compensation
Investigation and enforcement pow...,
Fca disciplinary panel,
Pra disciplinary panel
19  cards
EU and International Regulation
Eu institutions,
The commission,
The parliament
11  cards
Regulation of Markets
Investment exchanges regulated by,
Clearing houses regulated by,
3 types of investment exchanges
19  cards

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Regulation & Compliance Chapter 1, 2 & 4

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