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Chapter 4 - COBS and CASS

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

By: Keith Wijeratne
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Decks in this class (8)

Inclusions and Exclusions
Which firms are subject to cobs g...,
Which firms are subject to the co...,
What are the exceptions to the ee...
43  cards
Chapter 4 - COBS and CASS Focused Deck
What are the exceptions to the ee...,
Which activity is exempt from cobs,
Which activities are subject to cobs
98  cards
Chapter 3 - Market Abuse Regulation and Insider Dealing
What is the statutory offence,
Which two areas of market abuse d...,
Which regulation followed mad
59  cards
Chapter 3 - Money Laundering
What does part 1 of the fcas fina...,
What does part 2 of the fcas fina...,
What extra powers did the crimina...
35  cards
Chapter 3 - Data Protection
What are the 4 aspects covered by...,
What are the 6 data protection pr...,
What is the max civil penalty the...
10  cards
Chapter 3 - MiFID and MiFIR
What regulation did mifid replace,
What activities are newly covered...,
Which instruments are covered by ...
31  cards
Chapter 1 - The Regulatory Environment
What is the situation with agreem...,
What is the prudential regulation...,
How often must the fca submit a r...
40  cards
Chapter 2 - FSMA 2000 and FSA 2012
What is a section 56 fsma prohibi...,
What does section 71 fsma provide...,
What does section 138d fsa 2012 p...
50  cards

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Chapter 4 - COBS and CASS

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