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Detailed FCA

This class was created by Brainscape user Laolu Ayeko. Visit their profile to learn more about the creator.

By: Laolu Ayeko
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Decks in this class (7)

The Regulatory Environment
Fca,
Pra responsibility,
Dual regulated firms
43  cards
FSMA 2000 and FSA 2012
General prohibition s19 fsma 2000,
Regulated activities order,
Specified investments exclusions
47  cards
Associated Legislation and Regulation
Eu market abuse regulation offences,
Eu market abuse regulation penalties,
Scope of mar
69  cards
The FCA Conduct of Businesses and Client Asset Sourcebooks
Mifid instruments,
Non mifid designated investments,
Insurance business
74  cards
Complaints and Redress
Eligible complainants,
Procedures of complaint must be,
A firms procedures should provide...
10  cards
Secondary Markets
Authorised share capital,
Issued share capital,
Nominal value
43  cards
Securities cram
Dow jones number of constituents,
Nasdaq number of constituents,
Nikkei number of constituents
76  cards

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Detailed FCA

  • Class purpose General learning

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