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By:
James Sharp
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Decks in this class (12)
Chapter 1 (6 Exam Questions): The UK financial services industry in its European and global context
What is the main role of a bank s...,
Who owns banks what type of compa...,
Why are building societies able t...
77
cards
Chapter 2 (12 exam questions): How The Retail Consumer Is Served By The Financial Services Industry
211 obtaining client informationr...,
Before making a recommendation to...,
Cash flow modelling is commonly u...
149
cards
Chapter 3 (9 exam questions): Legal concepts and considerations relevant to financial advice
What is a sole trader,
What tax do sole traders pay,
Typically soletraders only pay cl...
93
cards
Chapter 4 (6 exam questions) Financial Services Regulation
Cards at end of chapter 3 need to...,
What is the process of grandfathe...,
The financial services act 2012 i...
50
cards
PART 1/2 in Chapter 5 (29 exam questions) UK financial services regulators
5a1 the financial services act 2012,
Recap from chapter 4,
Tell me about the prudential regu...
84
cards
PART 2/2 in Chapter 5 (29 exam questions) UK financial services regulators. FCA Handbook
What does block 1 high level stan...,
What is cond threshold conditions,
What are approved persons
83
cards
Chapter 6 (9 exam questions) Principles And Rules As Set Out In The Regulatory Framework
What is general prohibitionbeing ...,
Authorisation is not required if ...
126
cards
REDO END OF UNIT TEST Chapter 7 (13 exam questions) The Regulatory Advice Process
What was the main aim of the nati...,
What is the money guidance service,
101
cards
Chapter 8 (4 exam questions) Client Advising Skills
What different types of documents...,
What documentation must be provid...,
Why were key information document...
22
cards
Chapter 9 (7 exam questions) FCA Principles And Outcome Based Regulation
The fca principles for business a...,
Exams,
Give an example of each principle...
40
cards
Chapter 10 (5 questions) Ethics And Professional Standard
What are ethics,
36
cards
MOCK EXAM
Invesco ltd is a uk based insuran...,
A couple with children aged 12 15...,
Peter and james are the same age ...
100
cards
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RO1
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