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Fil Abbax
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Decks in this class (18)
Chapter 1: Regulatory Environment
Who has overall responsibility of...,
What impact does hm treasury have...,
Who funds the fca
32
cards
COBS: application and general provisions
To who do the cobs rules generall...,
How do cobs apply to appointed re...,
To who does fair treatment apply ...
10
cards
COBS: Client Categorisation
What is the purpose of cobs,
What classifies as a customer,
What classifies as a client
26
cards
COBS: Communications and Financial Promotions
What are the rules about who can ...,
What is the maximum penalty of br...,
What must a firm do before approv...
19
cards
COBS: Accepting Clients and Product Disclosure
What type of general information ...,
Which types of people need to be ...,
Who is exempt from the client agr...
26
cards
COBS: Suitability and Appropriateness Rules
To who do suitability rules apply,
What does the suitability rule ma...,
What are the applications to the ...
27
cards
COBS: Conflicts of Interest
Who do the conflict of interest r...,
Which principle for business is c...,
A firm must have systems and cont...
14
cards
COBS: Dealing and Managing
Who do best execution rules apply to,
What is the purpose of the best e...,
What are the four best execution ...
32
cards
COBS: Reporting
Who do transaction confirmations ...,
Purpose of transaction confirmations,
What are the two requirements whe...
13
cards
CASS: Client Asset and MoneyRules
Who do the client money and custo...,
Purpose of the client money and c...,
Which cass rule is custody and wh...
28
cards
COBS: Record Keeping
General rule for non mifid busine...,
General rule for mifid business o...,
How long must records be kept for...
7
cards
Complaints and Redress
Who counts as eligible complainants,
What must be true about the perso...,
How and when 3 times do complaint...
42
cards
ALL: Time limits, sentences, key numbers etc
What is a non retail investment,
How often does fca make a report ...,
How often does sysc 4 general req...
72
cards
KEY STUFF CHAPTER 1
Hmt impact on fca,
Fpc meetings and reports schedule,
Pra general objective and the pur...
16
cards
KEY STUFF CHAPTER 2
What manual says if you need a li...,
What conditions tell how to get a...,
Specified investments key ones fr...
20
cards
KEY STUFF CHAPTER 4
Difference in protection for mifi...,
Three investments not included as...,
Are pensions mifid
29
cards
KEY STUFF CHAPTER 3
Three special defences to insider...,
Insider dealing is only for indiv...,
When must suspicious transaction ...
16
cards
KEY STUFF CHAPTER 5
Eligible complainants requirements,
Award limit from the fos,
Who can make super complaints
5
cards
More about
CISI Financial Regulations
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Looking for something else?
CISI UK Financial Regulations
- 6 decks
- 797 flashcards
- 259 learners
Decks:
1 The Regulatory Environment, 2 The Financial Services And Markets Act, 3 Associate Legislation And Regulation, And more!
