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Karishma Hirani
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Decks in this class (23)
Pt 2. Serving the Retail Consumer - Budgeting, Managing Debt and Borrowing
What is a budgeting assessment,
What is the role of an adviser,
What is expenditure
13
cards
Pt 2. Serving the Retail Consumer - Mortgages and Loans
What is a mortgage,
What is an assignment,
What are the 2 main ways in which...
33
cards
Pt 2. Serving the Retail Consumer - Protection
What factors are individual needs...,
What are protecion needs by age,
What are the protetcion needs for...
41
cards
Pt 2. Serving the Retail Consumer - State Benefits
Why may provision of state benefi...,
Who are the department fro work a...,
What is a benefit cap
42
cards
Pt 3. Laws and legal concepts relevant to financial advice - Legal persons
What is a sole trader,
What is a partnership,
What is a limited liability partn...
8
cards
Pt 3. Laws and legal concepts relevant to financial advice - Powers of Attorney
What is a power of attorney,
Who are power attorneys for,
What is the mental capacity act 2005
11
cards
Pt 3. Laws and legal concepts relevant to financial advice - Law of Contract & Capacity
What classifies as a contract law,
What additional requirements of g...,
What is the consumer insurance ac...
7
cards
Pt 3. Laws and legal concepts relevant to financial advice - Law of Agency
What is an agency,
What place does an ifa hold under...,
Did you know
3
cards
Pt 3. Laws and legal concepts relevant to financial advice - Ownership of property
What is a freehold property,
What is a leasehold property,
What is the commonhold and leaseh...
14
cards
Pt 3. Laws and legal concepts relevant to financial advice - Bankruptcy and insolvency
What is an individual voluntary a...,
What are the 2 fees payable for iva,
What happens when an iva is in pr...
11
cards
Pt 3. Laws and legal concepts relevant to financial advice - Wills and intestacy
What are the laws of succession,
Who do the laws of succession app...,
What are the 3 major formalities ...
16
cards
Pt 3. Laws and legal concepts relevant to financial advice - Use of Trusts
What is a trust,
What is a legal term for a trust,
What is a trustee
13
cards
Pt 4. The Regulation of Financial Services - Financial Services Act 2012
What are the 3 current financial ...,
What are regulated activities,
Wht has fsma place all regulated ...
12
cards
Pt 4. The Regulation of Financial Services - Role of the European Union
What are passporting rights,
What are the structure of eu legi...,
Who are the european supervisory ...
31
cards
Pt 4. The Regulation of Financial Services - Other Regulators
What is cma,
What are the responsibilties of cma,
What are the 5 strategic goals of...
9
cards
Pt 4. The Regulation of Financial Services - Additional Oversight
What part of the business does th...,
What areas should systems and con...,
What should firms have in their f...
9
cards
Pt 5. Responsibilities and Approach to Regulation - UK Regulatory Landscape
What is the regulatory structure,
What tools does the pra use for a...,
What are the 3 characteristics fo...
8
cards
Pt 5. Responsibilities and Approach to Regulation - FCA Objectives
What are the regulatory principle...,
What are the purpose of fca objec...,
What will the consumer duty intro...
3
cards
Pt 5. Responsibilities and Approach to Regulation - Supervision
What is supervision,
What is a risk based approach,
What does the regulator use to as...
13
cards
Pt 6. Responsibilities and Approach to Regulation - The FCA Handbook
What is the high level standards ...,
What are the 9 sourcebooks and ma...,
What happens when prin is breached
43
cards
Pt 7. Anti Money Laundering, Data Protection and Complaints
What is money laundering,
What is the 3 stage process to mo...,
At which stages of the money laun...
50
cards
Pt 8. The Regulatory Advice Framework - Different Types of Financial Advisers & Services
What is cobs,
Which type of the client has grea...,
What is a retail client
16
cards
Pt 8. The Regulatory Advice Framework - The Process of Advising Clients
What is status disclosure,
In a status disclosure what requi...,
When should a firm disclose fees
22
cards
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CII R01 - Financial Services, Regulation & Ethics
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