Pictures Flashcards
show the diagram of civil and criminal offences
show the diagram of client categorisation for chapter 4
for insider dealing, misleading S&I and market abuse, what is the punishments and what needs to be proved
give me more detailed information on who per se professional clients are
show decision tree of example payouts from the financial services compensation scheme
show me the diagram of collective investment schemes
what are the different reports that need to be done and to who (chap 4)
what is the cisi professional code of conduct
what is the decision tree for the suitability and appropriateness tests
what is the diagram of responsibilities for the senior manager and certification regime (SM&CR)
who is responsible for branch, client and COBS for different countries
