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CF > 2.0 The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) Strategic, Operational and Statutory Objectives > Flashcards

2.0 The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) Strategic, Operational and Statutory Objectives Flashcards

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Excluded activity

1.5 Exempt Persons

2.0 The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) Strategic, Operational and Statutory Objectives

2.1 The FCA's General Duties

2.1.2 The PRA's Obligations

2.1.3 The Principles of Good Regulation

2.2 The Principles for Business

2.2.1 Treating Customers Fairly (TCF)

2.3 Statements of Principle and the Code of Practice for Approved Persons

2.3.1 Statements of Principle for Approved Persons

2.3.3 Code of Practice for Statement of Principle 2

2.3.4 Code of Practice for Statement of Principle 3

2.3.5 Code of Practice for Statement of Principle 4

2.3.6 Code of Practice for Statement of Principle 5

2.3.7 Code of Practice for Statement of Principle 6

2.3.8 Code of Practice for Statement of Principle 7

2.4 FCA SUPERVISION

2.4.1 The Tools of Supervision

2.4.2 Risk diagnosis, monitoring and prevention

2.4.3 Risk-Based Approach

2.4.4 The Main Steps in Risk Assessment

2.5 Senior Management Arrangements, Systems and Controls

UK CORP GOV CODE 1.1

UK CORP GOV CODE 1.2 - The Status and Structure of the UK Corporate Governance Code

The Regulatory Environment Questions

Takeovers and Mergers Questions

The FCA Conduct of Business Sourcebook Queestions

Corporate Governance and Business Ethics Questions

The Prospectus Rules

Equity Capital Markets

The regulatory environment in the UK

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