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Unit 1 Regulations

Unit 1 Regulations

By: Fernando De Roda

01 The Regulatory Environment, 02 FSMA 2000 & FSMA 2012, 03 Associated Legislation & Regulation ...

7

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302

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1

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Computer Information Systems

Computer Information Systems

By: Gracie Nathan

COB Test #1

1

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43

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1

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AF7 20/21

AF7 20/21

By: Colin stone

STATEMENT OF ENTITLEMENT, PENSION TRANSFER ADVICE, CASHFLOW MODELLING ...

18

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40

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3

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FCA Regulations

FCA Regulations

By: Mads Bowden

Chapter 4: Conduct of Business Sourcebook (COBS)

1

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53

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Chapter 10 - FCA and PRA conduct of Business, Fair Treatment and Client Money protection

Chapter 10 - FCA and PRA conduct of Business, Fair Treatment and Client Money protection

By: Luke O'Mahoney

Client Categorisation, COBS, Financial Promotions rules ...

8

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60

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The FCA's Conduct of Business and Client Assets Sourcebooks

The FCA's Conduct of Business and Client Assets Sourcebooks

By: Joseph Adams

1.) Application and General Provisions of COBS, 1.2) Firms Subject to COBS, 1.3) Activities Subject to COBS ...

11

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