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

This class was created by Brainscape user Luke O'Mahoney. Visit their profile to learn more about the creator.

By: Luke O'Mahoney
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Decks in this class (8)

Client Categorisation
Customer client consumer,
Professional clients two types,
Examples of per se professional c...
5  cards
COBS
Cobs apply to,
Electronic media,
Durable medium
8  cards
Financial Promotions rules
Fsma 2000 law on fp,
Exemptions fca do not cover commu...,
Past performance
6  cards
Fair Treatment - Accepting Customers
Client agreements retail vs profe...,
Information about the firm all cl...,
Disclosure of costs all clients i...
11  cards
Client Assets
Cass 6,
Cass 7,
Records of each client money acco...
5  cards
Advising and Selling
Key information documents,
Priips,
Key feature documents
11  cards
Record Keeping and Notifcation
Non mifid,
Mifid,
Pension stakeholder contracts and...
5  cards
Summary
Rules that apply to retail client...,
Conflicts of interest policy,
Voice recordings
9  cards

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

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