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Judith Beddows
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Decks in this class (18)
Unit 1 / Section 1 - How has Conduct Agenda Developed
Who in cooperation with the g20 i...,
What are the g20 principles,
What does consumer confidence and...
42
cards
Unit 1 / Section 2 - Core Components
What is the right conduct culture,
What are the activities that firm...,
A firm s ongoing risk management ...
15
cards
Unit 1 / Section 3 - The GRC Context
What does the open compliance and...,
Grc means all the processes withi...,
How can risk culture be defined
7
cards
Unit 2 / Section 2 - Company Conduct
What are 4 key elements of market...,
What can conduct risk be describe...,
In what ways can firms communicat...
35
cards
Unit 2 / Section 3 - Customer Conduct
What 4 things should firms consid...,
What are 3 ways vulnerability may...,
What are 4 ways of building trust...
17
cards
Unit 2 / Section 4 - Market Conduct
What does a narrow focus on marke...,
What does a wider focus on market...,
What does iosco stand for
17
cards
Unit 3 / Section 1 - For a Company
What are characteristics of a sil...,
What are the 4 main powers of reg...,
What are key responsibilities of ...
3
cards
Unit 3 / Section 2 - For Customers
What is vreq,
What are definitions of transparency,
What 3 questions need to be asked...
4
cards
Unit 3 / Section 3 - For the Market
What is the regulatory market int...,
What 4 threats are there to the a...,
For what market conduct reason do...
10
cards
Unit 3 / Section 4 - Non-financial Misconduct
What are the fcas 4 key drivers t...,
When assessing senior managers fo...,
What are 4 categories of unaccept...
4
cards
Unit 4 / Section 1 - UK SM&CR
What were the key findings of the...,
Who is the senior managers regime...,
Who is excempt from the smr
11
cards
Unit 4 / Section 2 - EU Internal Gov Guidelines
What does the eu capital requirem...,
What 6 elements do the gl11 guide...,
According to the eu gl11 what are...
6
cards
Unit 4 / Section 3 - MiFID
What does the markets in financia...,
In respect to conflicts of intere...,
What restrictions does mifid ii i...
14
cards
Unit 4 / Section 4 - IDD
What is the idd,
What does the idd do,
How does the idd regulate insuran...
15
cards
Unit 4 / Section 5 - Handling Compliants
What barriers may customers perce...,
Who is pcbs,
What did the pcbs recommend that ...
9
cards
Unit 4 / Section 6 - The EU GDPR
What is the territorial jurisdict...,
What is the maximum fine under gdpr,
What are 3 examples of breaches w...
12
cards
Unit 4 / Section 7 - Customer Vulnerability
What are 5 reasons why customer v...,
What are 6 examples of possible v...,
What are 4 steps in a good conduc...
4
cards
Summary Webinars
Unit 3 the company perspective of...,
Unit 3 the customer perspective o...,
Unit 3 the market perspective of ...
19
cards
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ICA Conduct Certificate
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