Professionalism And Speaking Up Flashcards
1
Q
What is professionalism?
A
Acting ethically with care & integrity.
2
Q
What is a speaking up culture?
A
Encourages reporting misconduct safely.
3
Q
What are the client types according to FCA?
A
Retail – most protection.
Professional – less.
Eligible Counterparty – least.
Vulnerable – extra care.
4
Q
What are the FCA PRIN?
A
11 Principles (e.g. integrity, customer interest, fair treatment).
5
Q
What are the PRA Rules?
A
8 rules (e.g. prudent, risk-managed, open with regulators).
