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Chapter 3. The Regulation Of Financial Markets and Institutions

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

By: Vemula Shravya
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Decks in this class (17)

EU: Harmonisation Of Financial Services
Legal status eu directives and re...,
Explain some concepts around dire...,
What are two problems that can ar...
9  cards
EU: The European Securities And Markets Authority
What are three main failures in e...,
What are the names of the three e...,
What are the five main aims of es...
5  cards
EU: The Markets In Financial Instruments Directive
What is the isd and what did it c...,
In the uk the isd was superseded ...,
Mifid widened the range of core i...
12  cards
EU: The Undertakings For Collective Investment In Transferable Securities Directives
As a result of the uk s obligatio...,
Fca is responsible for recognisin...,
Fca is responsible for recognisin...
6  cards
EU: The Alternative Investment Fund Managers Directive
Briefly explain what the aifmd is,
What is the authorisation criteri...,
What is the authorisation criteri...
9  cards
EU: The European Market Infrastructure Regulation
Explain the purpose of the europe...,
In the uk who has implemented the...,
What is the emir refit
5  cards
EU: The EU Benchmarks Regulation
Explain the purpose of the eu ben...,
Under the bmr regulation what is ...,
With regards to the bmr explain s...
20  cards
International: The Foreign Account Tax Compliance Act and Common Reporting Standard
Briefly explain what the foreign ...,
In 2012 uk and the usa entered in...,
What are some of the requirements...
6  cards
The UK Regulatory Structure
What are the five main bodies of ...,
The fsa 2012 amended fsma 2000 to...,
What is the fca list its strategi...
15  cards
Dual-Regulated Firms
Explain the roles and responsibil...,
Applications from dual regulated ...,
Applications from dual regulated ...
4  cards
The Financial Services And Markets Act 2000 (as amended by the FSA 2012)
Under the fsma there are three ma...,
For anyone who undertakes investm...,
What are the criminal offences un...
5  cards
Regulated Activities Order 2001 (as amended)
What are specified investments,
Explain the scope of regulated ac...
2  cards
Other Regulatory Bodies - Payment Systems Regulator
Briefly explain what the payment ...,
The psr regulate systems designat...,
What are the two statutory object...
3  cards
Other Regulatory Bodies - The Competition And Markets Authority
Briefly explain what the cma is,
Explain the concepts around 1 tur...,
What are some of the concepts aro...
5  cards
Other Regulatory Bodies - The Department Of Business, Energy And Industrial Strategy
What is the department for busine...
1  cards
Other Regulatory Bodies - The Information Commissioner’s Office
Briefly explain what the informat...
1  cards
Other Regulatory Bodies - GDPR
Briefly explain what the gdpr is,
The gdpr requires anyone who hand...,
Define what a processor and a con...
6  cards

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Chapter 3. The Regulation Of Financial Markets and Institutions

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