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By:
Phil Moore
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Decks in this class (25)
1. Regulatory Infrastructure
What is passporting,
W,
What are the main reforms of rele...
79
cards
2. The Role of the FCA and the PRA
211 what is the fca s strategic o...,
211 what should the fca regard wh...,
211 what is the integrity of the ...
100
cards
3. Company Law 4. AML and CTF
31 what is a scheme of arrangement,
31 what is the key difference bet...,
31 what purposes can a scheme of ...
120
cards
5. Insider Dealing 6. The Financial Services Act 2012 Part 7
5 what does the cja define as ins...,
51 when does a person commit the ...,
511 who can prosecute insider dea...
13
cards
7. Market Abuse 8. MiFID
71 what is considered market abus...,
7,
71 what do the prohibitions of in...
33
cards
2)1) The application and general provisions of the FCAs Conduct of Business Sourcebook (COBS) to Corporate Finance Business
11 what is the aim of cobs,
11 who is subject to cbs rules ac...,
11 summary of the two points above
50
cards
2)4) Client Categorisation
411 what does cobs define as a cl...,
412 what are the three categories...,
412 what is a retail professional...
11
cards
2)5) Conflicts of Interest (SYSC 10, PRIN 2.1)
51 when may a conflict of interes...,
51 what is a common platform firm,
51 who do the rules contained wit...
23
cards
2)6) Personal Account Dealing (COBS 11.7)
61 who do the personal account de...,
61 what are the aims of the perso...,
61 what should the arrangements i...
5
cards
2)7) Advising and Dealing (COBS 9 and 11)
71 when do the suitability requir...,
71 when do the cobs,
72 what background info should a ...
21
cards
2) End of Chapter Questions
When are some cobs rules modified...,
What is the purpose of the fca s ...,
When is a firm required to act ho...
16
cards
3) Corporate Governance and Business Ethics
2/50
1
cards
3)1) The UK Corporate Governance Code
11 what is corporate governance,
11 what is the shareholders role ...,
11 what is the board s responsibi...
32
cards
3)2) The CISI Code of Conduct, 3)ESG
21 what considerations could an i...,
22 what are the cisi s 8 principles,
31 background to esg
18
cards
3) End of Chapter Qs
1 what is the status and purpose ...,
2 who does the uk governance code...,
3 what are the main roles and res...
11
cards
4) Takeovers and Mergers
8/50
0
cards
4)1) Relevant Bodies
11 who are the panel on takeovers...,
11 who deals with matters regardi...,
11 who deals with wider questions...
16
cards
4)2) The Takeover Code
21 what is the purpose of the tak...,
21 what are the key features of a...,
21 how does the companies act 200...
60
cards
4) End of Chapter Questions
1 what is the scope and purpose o...,
2 what is the purpose of the take...,
3 how might the pensions regulato...
8
cards
5) Prospectuses
0
cards
5)1) The Prospectus Regulation Rules
11 what is the purpose of a prosp...,
11 when do the prospectus rules r...,
111 what exemptions are available...
12
cards
5) End of chapter questions
1 when is a prospectus required
1
cards
6) Equity Capital Markets
0
cards
6)1) The Regulation of the UK Equity Capital Markets
111 what are the two principal le...,
111 what are the mifid ii require...,
112 what sourcebooks are the rule...
79
cards
6)2) The rules specific to AIM
21 what type of market is aim cla...,
21 is aim a regulated market unde...,
21 who is aim regulated by
5
cards
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Corporate Finance Regulation
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