This class was created by Brainscape user Ella Statham. Visit their profile to learn more about the creator.
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Ella Statham
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Decks in this class (6)
Regulatory Environment
What does fsma 2000 stand for,
What was the purpose of fsma 2000,
What did the financial services a...
136
cards
FSMA 2000 And FSA 2012
What is a defence of breaking the...,
What does s56 fsma give the regul...,
What is the punishment for breach...
95
cards
Associated Legislation And Regulation
What is market abuse,
What is mar,
When did mar come into effect
73
cards
FCA Conduct Of Business & client assets
What is cobs,
What is aim of cobs,
Which firms are subject to cobs
68
cards
Complaints and Redress
What should internal complaints h...,
Where are the complaint handling ...,
To give consumers awareness of th...
32
cards
Glossary
Aggregation,
Allocation
2
cards
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UK Regulation
- Class purpose General learning
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