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Andreas Avraam
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Decks in this class (32)
Excluded activity
What provides exclusions for the ...,
Dealing in investments as princip...,
What is a contract for difference...
10
cards
Glossary
Allocation,
Alternative trading systems ats,
American depositary receipt adr
64
cards
1.5 Exempt Persons
What is an exempt person,
Exempt persons split into 2 groups,
Appointed representatives
11
cards
2.0 The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) Strategic, Operational and Statutory Objectives
0
cards
2.1 The FCA's General Duties
Fcas strategic objective,
Operational objective 1 the consu...,
Operational objective 2 the integ...
7
cards
2.1.2 The PRA's Obligations
Pra 3 statutory objectives,
The pra advances its objectives u...,
The financial services banking re...
3
cards
2.1.3 The Principles of Good Regulation
The principles of good regulation...,
Principle 1 efficiency and economy,
Principle 2 proportionality
9
cards
2.2 The Principles for Business
Fcas principles,
Integrity,
Skill carre and diligence
12
cards
2.2.1 Treating Customers Fairly (TCF)
Treating customers fairly initiat...,
Outcome 1 corporate culture hint,
Outcome 2 hint retail market
15
cards
2.3 Statements of Principle and the Code of Practice for Approved Persons
Approved persons at firms,
Controlled functions 2 types,
The high level standards block of...
3
cards
2.3.1 Statements of Principle for Approved Persons
For all functions,
Additional principles for sifs si...,
Code of practice for statement of...
11
cards
2.3.3 Code of Practice for Statement of Principle 2
The following count as a failure ...,
2 recommending an investment or c...,
3 undertaking recommending or pro...
8
cards
2.3.4 Code of Practice for Statement of Principle 3
Requires an approved person to ob...
1
cards
2.3.5 Code of Practice for Statement of Principle 4
Statement of principle 4,
Faliure to comply 1 internal proc...,
Failure to comply 3 failure to ac...
3
cards
2.3.6 Code of Practice for Statement of Principle 5
Statement of principle 5,
1 reporting lines,
2 authorisation levels and job de...
5
cards
2.3.7 Code of Practice for Statement of Principle 6
Statement of principle 6 due skil...,
The following behaviours dont com...,
1 failing to take reasonable step...
6
cards
2.3.8 Code of Practice for Statement of Principle 7
Statement of principle 7,
The following behaviours by an ap...
2
cards
2.4 FCA SUPERVISION
0
cards
2.4.1 The Tools of Supervision
Fca tools of supervision
1
cards
2.4.2 Risk diagnosis, monitoring and prevention
Fsma states that the fca should m...,
The ten principles which summaris...,
The fca needs to intervene in a p...
3
cards
2.4.3 Risk-Based Approach
Risk based approach,
The fcas work is divided into 3 p...,
Pillar 1 proactive firm supervision
5
cards
2.4.4 The Main Steps in Risk Assessment
Main steps in the fcas risk asses...,
1 fsf firm systematic framework p...,
2 event driven work dealing quick...
4
cards
2.5 Senior Management Arrangements, Systems and Controls
Fca places requirements on direct...,
The appointment of responsibilities,
Recording the appointment
12
cards
UK CORP GOV CODE 1.1
Corporate governance,
Directors are responsible for,
Shareholders are responsible for
9
cards
UK CORP GOV CODE 1.2 - The Status and Structure of the UK Corporate Governance Code
0
cards
The Regulatory Environment Questions
What is the status of an eu regul...,
What is the concept of better reg...,
What is the consequence of carryi...
20
cards
Takeovers and Mergers Questions
What is the scope and purpose of ...,
What is the ptms role in takeovers,
What is the purpose of the takeov...
25
cards
The FCA Conduct of Business Sourcebook Queestions
What are the cobs rules,
When are some cobs rules modified...,
What is the purpose of the fcas c...
28
cards
Corporate Governance and Business Ethics Questions
What is the status and purpose of...,
The uk corporate governance code ...,
What are the 5 different sections...
16
cards
The Prospectus Rules
When do the prospectus rules apply,
When would a prospects not be req...,
What is the purpose of a prospectus
17
cards
Equity Capital Markets
What are the roles and duties of ...,
What three sourcebooks are the fc...,
What is the lse
70
cards
The regulatory environment in the UK
What is a clean and qualified wit...,
What are the notification require...,
What is the the fit and proper test
156
cards
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CF
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