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CII R01 > 3. Legal Concepts & Considerations Relevant to Financial Advice > Flashcards

3. Legal Concepts & Considerations Relevant to Financial Advice Flashcards

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CII R01 (10 decks)

8. Client Advising Skills

7. The Regulatory Advice Framework

6. Principles & Rules as Set out in the Regulatory Framework

5. Responsibilities & Approach to Regulation

4. The Regulation of Financial Services

3. Legal Concepts & Considerations Relevant to Financial Advice

2. How the Retail Consumer is Served by the Financial Services Industry

1. The UK Financial Services Industry in its European & Global Context

9. The FCA's Use of Principles & Outcomes-based Regulation to Promote Ethical & Fair Outcomes

10. Ethics & Professional Standards

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