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Vemula Shravya
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Decks in this class (28)
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In the uk the isd was superseded ...,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 1,
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 3
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...
19
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 1,
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 1,
Explain the concepts around 2,
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 1,
The gdpr requires anyone who hand...,
With regards to the gdpr what are...
16
cards
The Takeover Panel
Briefly explain what the takeover...,
Briefly explain how the takeover ...,
Explain some concepts of the pane...
9
cards
Regulation Of Pension Funds
The pensions act 2004 introduced ...,
The pensions act 2004 introduced ...,
The pensions act 2004 introduced ...
12
cards
FCA-Recognised industry Codes
What are the four main fca recogn...,
Under the fca recognition codes s...,
Under the fca recognition codes s...
5
cards
The Role And Statutory Objectives Of The Financial Conduct Authority
Explain the role of the the fca 1,
Explain the statutory objectives ...
2
cards
The Financial Conduct Authority Handbook
The fca handbook is separated int...,
Block 1 of the fca handbook is hi...,
Block 1 high level standards 3
13
cards
Principles For Businesses
Briefly explain what princples of...,
What are the 12 main principles u...,
Principles for businesses 3
19
cards
Senior Management Arrangements, Systems And Controls
Explain what the purposes of sysc...,
What is a common platform with re...,
List what sysc 4 10 are 3
22
cards
Applying For Permission To Carry On Regulated Activities
For a person wishing to carry one...,
Explain what the part 4a permissi...,
What is the fca cond and pra cond 3
6
cards
Senior Managers And Certification Regime
The financial services banking re...,
What is the senior managers regim...,
What is the certification regime ...
16
cards
Training And Competence
There is a requirement that all s...,
When a firm permits an employee t...,
A firm must ensure that the emplo...
4
cards
Professionalism Requirements For Retail Investment Advisers
Retail distribution review rdr re...,
Briefly explain what ethical stan...,
What is aper 3
7
cards
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Chapter 3.1 - 3.3 The Regulation Of Financial Markets and Institutions
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