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UK Regulation and Professional Integrity - Jul 2024

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

By: David Bailey
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Decks in this class (12)

Unit 1 - UK FS sector (2 of 80)
Government s economic policy 4 ai...,
Official term for uk budget defic...,
Balanced budget multiplier 3
24  cards
Unit 2 - UK FS & Consumer Relations (4 of 80)
6 stages of people s lifecycle 1,
What are stakeholder pensions 2,
Income tax personal allowance 3
11  cards
Unit 3 - UK Contract & Trust Legislation (2 of 80)
Capacity to contract 1,
Who can lack capacity to contract 2,
Natural vs legal person 3
26  cards
Unit 4 - Integrity and Ethics (8 of 80)
What is integrity 1,
What is the universalation test 2,
What is utilitarianism 3
10  cards
Unit 5 - Uk Regulatory Infrastucture (6 of 80)
Who does the pra regulate 4 1,
What does the fca regulate 3 2,
Who established the fpc and what ...
44  cards
Unit 6 - FCA/PRA Supervisory Objectives (7 of 80)
How does fca define supervision 1,
What are the fca s 2 methods of s...,
What are the fca s 8 supervisory ...
31  cards
Unit 7 PRA/FCA Authorisation (12 of 80)
Which activities are regulated 1,
What are the fca 12 principles 2,
What are the 5 purposes of the se...
19  cards
Unit 8 - Financial Crime 1 (18 of 80)
How does the fca believe good cul...,
Why is effective governence impor...,
What is the financial crime guide...
31  cards
Unit 8 - Financial Crime 2 (18 of 80
What did the economic crime act 2...,
What are the 5 offences and punis...,
What are 3 stages of money launde...
29  cards
Unit 9 - Complaints & Compensation (3 of 80)
What is the role of the fos 1,
How does the fca define a complai...,
How long does a complainant have ...
20  cards
Unit 10 - FCA COBS and Client Assets Part 1 (18 or 80)
Which activities are subject to c...,
What is a durable medium 2,
What are the rules regarding webs...
34  cards
Unit 10 - FCA COBS and Client Assets Part 2 (18 or 80)
What information should be provid...,
What information should be provid...,
What information needs to be prov...
29  cards

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UK Regulation and Professional Integrity - Jul 2024

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