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Chapter 10 - FCA and PRA conduct of Business, Fair Treatment and Client Money protection > Summary > Flashcards

Summary Flashcards

1
Q

Rules that apply to Retail Clients only

A

Financial Promotion Rules

Retail Investment Product Disclosures

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2
Q

Conflicts of interest policy

A

Includes ECP

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3
Q

Voice Recordings

A

Includes ECP

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4
Q

Chinese Walls

A

Includes ECP

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5
Q

Investment Research

A

Includes ECP

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6
Q

Personal account dealing

A

Includes ECP

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7
Q

Client Assets

A

Incldues ECP

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8
Q

Ocassional and Periodic reporting rules

A

Incldues ECP

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9
Q

All other rules

A

Apply to RC and PC only

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Chapter 10 - FCA and PRA conduct of Business, Fair Treatment and Client Money protection (8 decks)

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