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R T
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Decks in this class (12)
1. Purpose & Structure Of The UK FS Industry
What s the key function of banks ...,
Who are the national savings and ...,
What is meant by a capital market
15
cards
2. Main Areas of Financial Advice: The Present
Critical illness,
Structured loans,
Unstructured loans
11
cards
3. Areas of Financial Advice: The Future
Define benefit scheme,
Defined contribution scheme,
What are the 2 types of ltci
19
cards
4. Main Financial Asset Classes & Their Characteristics
Who authorises a uk based deposit...,
What are fixed interest investements,
What is a gilt
6
cards
5. Legal Concepts Relevant to Financial Advice
What is the difference between lt...,
What tax do companies pay,
For a contract to be binding ther...
9
cards
6. Taxation of Individuals
What is meant by domicile,
A personal allowance is only avai...,
What are capital gains
10
cards
7. National Insurance Contributions & State Benefits
National insurance contributions nic,
Nic classes,
Nics are payable above the primar...
7
cards
8. Process of Providing Financial Advice
What is the money and pensions se...,
What are the 5 key needs that a c...,
Client needs must be
5
cards
9. Financial Services Regulators
Under the financial services act ...,
What is the prudential regulation...,
What is the pra responsible for
11
cards
10. The Application of FCA Rules
What is stated under section 19 o...,
What are the 2 types of advisers,
What is the new fca principle
9
cards
11. FCA Conduct of Business Rules (COBS)
What is the purpose of the conduc...,
What are the 3 types of clients t...,
Example of real time promotion
15
cards
12. Other Regulatory and Legislative Requirements
What is the equity acts 2010,
Money laundering usually has 3 st...,
The proceeds of crime act 2002
12
cards
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Ciii - CF1
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