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UK Regulation and Professional Integrity

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

By: joshua hale
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Decks in this class (12)

Glossary
What is aggregation,
What is allocation,
What is appointed representative
108  cards
Chapter 1 The UK Financial Services Sector
0  cards
Chapter 2 UK Financial Services and Consumer Relationships
0  cards
Chapter 3 UK Contract and Trust Legislation
0  cards
Chapter 4 Integrity and Ethics in Professional Practice
0  cards
Chapter 5 The Regulatory Infrastructure of the UK Financial Services
0  cards
Chapter 6 FCA and PRA Supervisory Objectives, Principles and Processes
0  cards
Chapter 7 FCA and PRA Authorisation of Firms and Individuals
0  cards
Chapter 9 The Regulatory Framework Relating to Financial Crime
0  cards
Chapter 9 Complaints and Redress
0  cards
Chapter 10 FCA Conduct of Business Fair Treatment and Client Money Protection
0  cards
MCQs - Old Book
In respect of the client classifi...,
If an investment firm provides se...,
The fca s approach to the prevent...
40  cards

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UK Regulation and Professional Integrity

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