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RO1
> RO1 - S.9 - Ethics > Flashcards
RO1 - S.9 - Ethics Flashcards
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RO1
(9 decks)
RO1 - S.1 - the UK financial services industry in its European and global context
RO1 - S.2 - how the retail consumer is served by the financial services industry
RO1 - S.3 - legal concepts and considerations relevant to financial advice
RO1 - S.4 - the regulation of financial services
RO1 - S.5 - financial regulators’ responsibilities and approach to regulation
RO1 - S.6 - Principles & Rules as set out in the regulatory framework
RO1 - S.7 - . Apply the regulatory advice framework to ensure fair outcomes for the consumer
RO1 - S.8 - skills required when advising clients
RO1 - S.9 - Ethics
