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Learn Financial Services, Regulation And Ethics

Study Financial Services, Regulation And Ethics using smart web & mobile flashcards created by top students, teachers, and professors. Prep for a quiz or learn for fun!
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  • PcM
    PcM

    PcM

    By: Jared Ignacio
    1.1: Assess Resources Within the Practice, 1.2 Apply the Regulations and Requirements Governing the Work Environment, 1.3: Apply Ethical Standards to Comply with Accepted Principles Within a Given Situation ...
    24
    Decks
    738
    Flashcards
    1
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  • A. Professional Conduct and Regulation
    A. Professional Conduct and Regulation

    A. Professional Conduct and Regulation

    By: Neil Knight
    CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct, CFP Board's Financial Planning Practice Standards, CFP Board's Disciplinary Rules and Procedures ...
    7
    Decks
    70
    Flashcards
    5
    Learners
  • The Regulation and Ethics of the South African Financial Markets
    The Regulation and Ethics of the South African Financial Markets

    The Regulation and Ethics of the South African Financial Markets

    By: Ané Venter
    Chapter 1: Regulation and the role of various regulators, Chapter 2: The Financial Markets Act, 2013, Chapter 3: Credit Rating Services Act ...
    9
    Decks
    173
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    1
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  • CFP EXAM 2
    CFP EXAM 2

    CFP EXAM 2

    By: Nicholas mercer
    Chapter 1: Basic Concepts of Risk and Insurance, Chapter 2: Managing Risks., Chapter 3: Types of Insurers and Their Marketing Systems ...
    21
    Decks
    838
    Flashcards
    15
    Learners
  • RO1
    RO1

    RO1

    By: Peter Ffoulkes
    RO1 - S.1 - the UK financial services industry in its European and global context, RO1 - S.2 - how the retail consumer is served by the financial services industry, RO1 - S.3 - legal concepts and considerations relevant to financial advice ...
    10
    Decks
    242
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    1
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  • Certified Financial Planner (Nov 2023)
    Certified Financial Planner (Nov 2023)

    Certified Financial Planner (Nov 2023)

    By: David Giles
    A.3 Function, purpose, and general structure of financial institutions, A. Professional Conduct and Regulation (8%), A.1 CFP Board’s Code of Ethics and Standards of Conduct ...
    6
    Decks
    82
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    6
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  • CISI: International Introduction to Securities & Investment
    CISI: International Introduction to Securities & Investment

    CISI: International Introduction to Securities & Investment

    By: Jasmine Curtis
    Chapter 1: The Financial Services Sector, Chapter 2: The Economic Environment, Chapter 3: Financial Assets and Markets ...
    9
    Decks
    33
    Flashcards
    11
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  • Corporate Finance Regulation
    Corporate Finance Regulation

    Corporate Finance Regulation

    By: Phil Moore
    1. Regulatory Infrastructure, 2. The Role of the FCA and the PRA, 3. Company Law 4. AML and CTF ...
    25
    Decks
    714
    Flashcards
    1
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  • General Principals
    General Principals

    General Principals

    By: Paige Gordon
    Sec. 1 - Ch.2: Standards & Ethics, Sec. 1 - Ch.3: Financial Statements & Cash Flow, Sec. 1 - Ch.5: Financial Institutes ...
    8
    Decks
    117
    Flashcards
    1
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  • Audit
    Audit

    Audit

    By: push iyer13
    Audit - Independent MCQs & Integrated Case Study, SQC 1 - Quality Control for Firms that Perform Audits & Reviews of Historical Financial Information & Other Assurance & Related Service Engagements, SA 200 – Overall Objectives of the Independent Auditor and Conduct of an Audit in accordance with SA ...
    40
    Decks
    208
    Flashcards
    1
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  • Intro to FP
    Intro to FP

    Intro to FP

    By: Susanna Pinto
    1 Basic Economic Concepts, 2 Time Value of Money, 3 Business Law ...
    15
    Decks
    16
    Flashcards
    1
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