This class was created by Brainscape user Ned Clonan. Visit their profile to learn more about the creator.
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Ned Clonan
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Decks in this class (20)
Topic 1 The role and structure of financial markets
1 money must have certain propert...,
2 what are the six main functions...,
3 which two opposing groups take ...
19
cards
Topic 2 The role of government
1 what are the two main functions...,
2 what are the main economic obje...,
3 what is fiscal policy what are ...
13
cards
Topic 3 Financial services in the wider economy
1 which two groups of people are ...,
2 how does the ownership of a ban...,
3 describe in one sentence how cr...
5
cards
Topic 4 Industry obligations to the customer
1 explain the difference between ...,
2 focused advice occurs when the ...,
3 a staff member who provides foc...
4
cards
Topic 5 Types of customers and their needs
1 explain the key differences bet...,
2 bob bought shares in wonder ltd...,
3 which demographic group tends t...
4
cards
Topic 6 Meeting customers’ needs: protection
1 what are the two main factors t...,
3 list three medical conditions c...,
4 diane s employer offers private...
8
cards
Topic 7 Meeting customers’ needs: savings and investment
In order to achieve a real return...,
What are the two main risks facin...,
3 list three benefits of collecti...
10
cards
Topic 8 Meeting customers’ needs: retirement and estate planning
Statistics show that 80 per cent ...,
Amelie earns 35 000 as a sales ma...,
Aisha was born on 1 january 1961 ...
10
cards
Topic 9 Meeting customers’ needs: borrowing
1 which type of mortgage guarante...,
2 what risks might face a borrowe...,
3 why might a capped rate mortgag...
4
cards
Topic 10 Regulatory authorities in the UK
1 under the fsma 2000 there were ...,
2 the financial services and mark...,
3 briefly describe the role of ea...
5
cards
Topic 11 International regulation
1 explain the minimum capital ade...,
2 under the capital requirements ...,
3 which of the following two stat...
6
cards
Topic 12 The FCA’s responsibilities and approach to regulation
1 list the four fca regulatory ob...,
2 how does the fca categorise fir...,
3 what is the difference between ...
10
cards
Topic 13 Principles and rules of the FCA Conduct of Business Sourcebook
1 the fca requires that financial...,
2 a firm is considering making co...,
3 what are the two ways in which ...
10
cards
Topic 14 Money laundering, data protection and complaints procedures
1 list and explain the three prin...,
2 what is the individual transact...,
3 what are the two money launderi...
9
cards
Topic 15 Important legal principles
1 in terms of liability for busin...,
2 what is the main difference bet...,
3 explain the terms apparent auth...
7
cards
Topic 16 Wills, intestacy and trusts
1 explain what is meant by a test...,
2 what is the legal position rega...,
3 leilani wants to make a few sma...
12
cards
Topic 17 Understanding risk
1 explain the difference between ...,
2 what is the difference between ...,
3 identify four financial risks t...
10
cards
Topic 18 Managing risk
1 against what type of risk is in...,
2 explain how risk based manageme...,
3 explain the difference between ...
9
cards
Topic 19 Gathering information from the client
1 what are the five broad areas o...,
2 how are the fca s know your cus...,
3 what information should an advi...
10
cards
Topic 20 Addressing the client’s needs
1 what is the normal order of pri...,
2 alan s client themba stated tha...,
3 what are the key points that wo...
10
cards
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FSRE - DIPFA
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