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Corporate Finance Regulation > 3) Corporate Governance and Business Ethics > Flashcards

3) Corporate Governance and Business Ethics Flashcards

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Corporate Finance Regulation (25 decks)

1. Regulatory Infrastructure

2. The Role of the FCA and the PRA

3. Company Law 4. AML and CTF

5. Insider Dealing 6. The Financial Services Act 2012 Part 7

7. Market Abuse 8. MiFID

2)1) The application and general provisions of the FCAs Conduct of Business Sourcebook (COBS) to Corporate Finance Business

2)4) Client Categorisation

2)5) Conflicts of Interest (SYSC 10, PRIN 2.1)

2)6) Personal Account Dealing (COBS 11.7)

2)7) Advising and Dealing (COBS 9 and 11)

2) End of Chapter Questions

3) Corporate Governance and Business Ethics

3)1) The UK Corporate Governance Code

3)2) The CISI Code of Conduct, 3)ESG

3) End of Chapter Qs

4) Takeovers and Mergers

4)1) Relevant Bodies

4)2) The Takeover Code

4) End of Chapter Questions

5) Prospectuses

5)1) The Prospectus Regulation Rules

5) End of chapter questions

6) Equity Capital Markets

6)1) The Regulation of the UK Equity Capital Markets

6)2) The rules specific to AIM

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