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IMC - Investment Environment

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

By: Damian Zalabardo
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Decks in this class (9)

1 - The Regulatory Environment
Which asset class is not a specif...,
Which body is responsible for reg...,
What are the 4 main roles of gove...
22  cards
2 - Authorised & Approved persons
What does an applicant need to es...,
To whom may firms appeal fca deci...,
What is passporting
13  cards
4 - Complaints and Redress
What is the maximum award that ca...,
If a complaint has been received ...,
If a firm receives and deals with...
13  cards
3 - Conduct of Business and Client Asset Rules
When can a firm execute a client ...,
What is the requirement for recor...,
When must a firm must take reason...
33  cards
5 - Financial Crime
What are the 3 steps of money lau...,
Under money laundering regulation...,
What markets does insider dealing...
8  cards
6 - Other Regulatory Requirements
What percentage of votes are requ...,
What percentage of votes are requ...,
What can a takeover panel do in t...
25  cards
7 - Client objectives and advice
What is the key feature of an int...,
Who creates a trust,
In order to register lasting powe...
14  cards
9 - Financial Markets
What needs to be published for a ...,
Who are the 2 bodies carrying out...,
What is a major benefit of a quot...
29  cards
10 - Taxation
What investing service has vat ch...,
What is the rate of sdrt,
What are the 3 main characteristi...
35  cards

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IMC - Investment Environment

  • Class purpose General learning

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