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Learn Financial Regulation

Study Financial Regulation using smart web & mobile flashcards created by top students, teachers, and professors. Prep for a quiz or learn for fun!
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  • Chapter 3 - Regulation of financial markets and institutions
    Chapter 3 - Regulation of financial markets and institutions

    Chapter 3 - Regulation of financial markets and institutions

    By: Tunji Adeniyi
    3.2: UK REGULATION, 3.3: FCA: OBJECTIVES AND HIGH-LEVEL STANDARDS, 3.4: REGULATION OF INVESTMENT EXCHANGES ...
    7
    Decks
    99
    Flashcards
    1
    Learner
  • R01 Financial Services, Regulation And Ethics
    R01 Financial Services, Regulation And Ethics

    R01 Financial Services, Regulation And Ethics

    By: Laura Tennant
    Chapter 1
    1
    Decks
    39
    Flashcards
    4
    Learners
  • FCA Paper 3: UK Financial Regulation
    FCA Paper 3: UK Financial Regulation

    FCA Paper 3: UK Financial Regulation

    By: Tom Hill
    The regulatory environment, The Financial Services and Markets Act 2000 & Financial Services Act 2012, Associated Legislation and Regulation ...
    7
    Decks
    247
    Flashcards
    1
    Learner
  • FINANCIAL ACCOUNTING AND REGULATION
    FINANCIAL ACCOUNTING AND REGULATION

    FINANCIAL ACCOUNTING AND REGULATION

    By: Charmaine Mullings
    Accounting Changes, Bonds Debt Restructure, Consolidations ...
    18
    Decks
    325
    Flashcards
    1
    Learner
  • FCA 3: UK Financial Regulation
    FCA 3: UK Financial Regulation

    FCA 3: UK Financial Regulation

    By: Ebrima Jallow
    The Regulatory Environment, The Financial Services and Markets Act 2000 & Financial Services Act 2012, Associated Legislation and Regulation ...
    4
    Decks
    269
    Flashcards
    1
    Learner
  • Financial Accounting & Regulation
    Financial Accounting & Regulation

    Financial Accounting & Regulation

    By: Chad Taylor
    Conceptual Framework and Financial Reporting, Financial Statements
    2
    Decks
    89
    Flashcards
    1
    Learner
  • Financial Accounting & Regulation
    Financial Accounting & Regulation

    Financial Accounting & Regulation

    By: Susan Jones
    Financial Reporting
    1
    Decks
    56
    Flashcards
    1
    Learner
  • CISI UK Financial Regulations 2023-24
    CISI UK Financial Regulations 2023-24

    CISI UK Financial Regulations 2023-24

    By: Katrina Carter
    Chapter 1 - The Regulatory Environment, Chapter 2 - The Financial Services and Markets Act 2000 and Financial Services Act 2012, Chapter 3 - Associated Legislation and Regulation ...
    5
    Decks
    36
    Flashcards
    1
    Learner
  • Brunei Financial Regulations
    Brunei Financial Regulations

    Brunei Financial Regulations

    By: Syazarina HA
    Kutipan Hasil (Revenue), Kawalan Dalaman (Internal Control Measures), Tunggakan Hasil
    3
    Decks
    31
    Flashcards
    1
    Learner
  • Wrong/Low: Subject Financial Service Regulations
    Wrong/Low: Subject Financial Service Regulations

    Wrong/Low: Subject Financial Service Regulations

    By: Nick Sapienza
    Wrong/Low: Subject Financial Service Regulations, Wrong/Low Education, Investments
    3
    Decks
    59
    Flashcards
    1
    Learner
  • Course 101 General Financial Planning, Principles, Professional Conduct, and Regulation
    Course 101 General Financial Planning, Principles, Professional Conduct, and Regulation

    Course 101 General Financial Planning, Principles, Professional Conduct, and Regulation

    By: jeffpratt88@comcast.net Pratt
    Unit 1 The Personal Financial Planning Process
    1
    Decks
    27
    Flashcards
    1
    Learner
  • Financial Regulation & Ethics
    Financial Regulation & Ethics

    Financial Regulation & Ethics

    By: Kazeem Sarumi
    TCF, Advice, Money Laundering ...
    6
    Decks
    31
    Flashcards
    1
    Learner
  • CISI Introduction to Securities & Investment (L4)
    CISI Introduction to Securities & Investment (L4)

    CISI Introduction to Securities & Investment (L4)

    By: Daniel Newton
    Chapter 1: The Financial Services Sector, Chapter 2: The Economic Environment, Chapter 3: Equities ...
    12
    Decks
    997
    Flashcards
    162
    Learners
  • R01
    R01

    R01

    By: Ellie Atkinson
    The UK Financial Services Industry: An Overview, Serving The Retail Customer, Principles And Rules Set Out In The Regulatory Framework ...
    10
    Decks
    416
    Flashcards
    310
    Learners
  • CISI Introduction to Securities and Investments 2025
    CISI Introduction to Securities and Investments 2025

    CISI Introduction to Securities and Investments 2025

    By: Jack Eden
    Chapter 1 - Introduction: The Financial Services Sector, Chapter 2 - The Economic Environment, Chapter 3 - Equities ...
    12
    Decks
    578
    Flashcards
    218
    Learners
  • Intro to FP
    Intro to FP

    Intro to FP

    By: Patrick H
    Intro to FP, Purpose of FP, Time Value of Money ...
    14
    Decks
    942
    Flashcards
    1
    Learner
  • CII - R01
    CII - R01

    CII - R01

    By: Jordan Sidaway
    2 - Retail Customers, 3 - Legal Concepts, 4 - Financial Services Regulation ...
    9
    Decks
    230
    Flashcards
    510
    Learners
  • R01 Jan 2020
    R01 Jan 2020

    R01 Jan 2020

    By: Jennifer Barker
    The Uk Financial Services Industry, Serving the retail customer, Laws & legal concepts relevant to financial advice ...
    13
    Decks
    514
    Flashcards
    37
    Learners
  • CFP Nov 23
    CFP Nov 23

    CFP Nov 23

    By: Amber Lynn
    Behavioral Finance, Financial Planning Process/Ethics and Standards, Financial Statements & Cash Flow ...
    11
    Decks
    151
    Flashcards
    45
    Learners
  • CVPM 2021
    CVPM 2021

    CVPM 2021

    By: Leslie Rowe
    Human Resources, Law & Ethics, Organization ...
    7
    Decks
    622
    Flashcards
    36
    Learners
  • Certified Financial Planner
    Certified Financial Planner

    Certified Financial Planner

    By: tony beth
    Law of Contracts, Agency, Professional Liability ...
    35
    Decks
    844
    Flashcards
    24
    Learners
  • CFP
    CFP

    CFP

    By: ryan halvorson
    Rules of Conduct, Code of Ethics, Financial Planning Practice Standards ...
    51
    Decks
    1,030
    Flashcards
    312
    Learners
  • Overview of the Financial System
    Overview of the Financial System

    Overview of the Financial System

    By: Ma. Uriah Alcantara
    I. Function of Financial Markets, II. Structure of Financial Markets, III. Financial Market Instruments ...
    7
    Decks
    243
    Flashcards
    15
    Learners
  • CFMP
    CFMP

    CFMP

    By: Kimberley Kaschke
    CFMP financial principles 15%, CFMP Market Research 15%, CFMP US laws and regulations 15% ...
    6
    Decks
    412
    Flashcards
    240
    Learners
  • Cemap 2&3 Self Testing
    Cemap 2&3 Self Testing

    Cemap 2&3 Self Testing

    By: Alicia Tse
    1. Property and Mortgage Markets, 2. Types Of Borrower, 3. Mortgage Regulation ...
    29
    Decks
    1,341
    Flashcards
    43
    Learners
  • CHFC HS 300
    CHFC HS 300

    CHFC HS 300

    By: Tommy Boye
    Module 2 (Effective Communication), Module 1 (Financial Planning Process), Module 3 (Ethics) ...
    15
    Decks
    638
    Flashcards
    457
    Learners
  • CIPP/US 1.0 - IAPP
    CIPP/US 1.0 - IAPP

    CIPP/US 1.0 - IAPP

    By: Host Mom
    Ch. 1: Introduction to the U.S. Privacy Environment, Ch. 1 - Intro into US Privacy Environment Quiz, Ch. 2: US Legal Framework ...
    39
    Decks
    5,017
    Flashcards
    223
    Learners
  • Series 7 by Chapter
    Series 7 by Chapter

    Series 7 by Chapter

    By: Leo O'Connor
    Annuities and Variable Products, Complex Options Strategies, Corporate Debt Securities and Money-Market Instruments ...
    24
    Decks
    1,348
    Flashcards
    81
    Learners
  • JW - CeMap 1 (2019/2020)
    JW - CeMap 1 (2019/2020)

    JW - CeMap 1 (2019/2020)

    By: J W
    Unit 1: Introduction to the Financial Services Environment and Products - Topic 1 - Introducing the financial services industry, Unit 1 - Topic 2 - Economic policy and financial regulation, Unit 1 - Topic 3 - UK taxation ...
    25
    Decks
    851
    Flashcards
    262
    Learners
  • 19ECB015 - Economics of the Financial System
    19ECB015 - Economics of the Financial System

    19ECB015 - Economics of the Financial System

    By: Dylan Ottey
    L1 - Introduction to Economics of the Financial System, L2 - The Nature and Function of the Financial System, L3 - A Detailed look at the Money Market ...
    22
    Decks
    768
    Flashcards
    4
    Learners

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