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SQE1 - Ethics

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

By: Fareeha Noorani
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Decks in this class (9)

1. Seven Mandatory Principles
What are the seven mandatory prin...,
Regarding principles 4 and 5 hone...,
Regarding pricniple 6 is the requ...
4  cards
2. Maintaining Trust and Acting Fairly
To whom do the standards regardin...,
What is the legal obligation to p...,
Do all adjustment
13  cards
3. Dispute Resolution and Proceedings
To whom do the standards regardin...,
What three things must a solicito...,
How
5  cards
4. Service and Competence
To whom do the standards regardin...,
What is required to act for a client,
If you have reason to suspect the...
8  cards
5. Client Money and Assets
What must you do if you receive a...,
What must you do to money and ass...,
What is the one exception to the ...
3  cards
6. Business Requirements
What three situations would be go...,
What interests must a client be i...,
What are two requirements of fee ...
17  cards
7. Conflicts, Confidentiality, and Disclosure
What are the two types of conflict,
What are the three types of matte...,
What is not considered to be suff...
34  cards
8. Co-Operation and Accountability
Responding to the sra,
Responding to the sra,
Responding to the sra
19  cards
9. Providing Services to the Public
What is the firm thing you must i...,
Informing client of regulationwha...,
Informing client of regulationwha...
16  cards

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SQE1 - Ethics

  • Class purpose General learning

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