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Emily Havers
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Decks in this class (19)
MiFID/ MiFID II/ MiFIR
What are eu directives not,
What were eu directives issued under,
What is the goal of the eu direct...
32
cards
UCITS Directive/ AIFMD/ Additional
What is a cis,
What two types of cis are there i...,
What rules must a cis adhere to i...
30
cards
UK Regulation
What are the three key institutio...,
What is the fpc,
What does the fpc monitor
49
cards
Regulation of Pension Funds
What does the pensions regulator ...,
What does the pension regulator i...,
What must trustees of a pension do
10
cards
FCA Objectives and High Level Standards
What are the fcas 4 statutory obj...,
List the 7 blocks of the fca hand...,
In the fca handbook which block d...
30
cards
Regulation of Investment Exchanges
Who recognises the recognised inv...,
Who recognises the recognised cle...,
List the recognised investment ex...
23
cards
FCA Business Standards
What does the fca client categori...,
List the three key types of fca c...,
Under the fca client categorisati...
21
cards
Client Agreements
Before entering into an agreement...,
Under which circumstances must in...,
Under which circumstances may t c...
25
cards
Identifying Client Needs
What is kyc and what does it mean,
Who is the duty to do a kyc gener...,
What is included in a suitability...
4
cards
Dealing and Managing
What is the best execution obliga...,
What must the best execution obli...,
What must happen with policy and ...
6
cards
Use of dealing comission
Are dealing commissions allowed b...,
What is an inducement,
What inducements are acceptable
7
cards
Investment research
What constitutes investment research,
In terms of investment research w...,
What are exceptions to front running
5
cards
Packaged products
What constitutes a packaged product,
When a firm a packaged products t...,
When would a key investor informa...
4
cards
Reporting
What falls under occasional repor...,
What reporting must be made for d...,
What falls under periodic reporting
5
cards
Client Assets Source Book CASS
What does the clients assets and ...,
What are the 4 key points of the ...,
Explain fiduciary duty in terms o...
6
cards
Client Money rules
What do the client money rules re...,
How practically can clients money...,
Under the client money rules what...
4
cards
FCA Supervision and Redress
What legislation gave the fca sup...,
What do the fca powers under fsma...,
When can the fca prosecute offenc...
15
cards
Financial Crime
What is money laundering,
What are the three stages of mone...,
In terms of money laundering what...
39
cards
From Book
What are the 3 operational object...,
From april 2014 the fca took over...,
In terms of fca pra prc and fpc w...
25
cards
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IMC Chapter 3
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