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Ellie Atkinson
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Decks in this class (10)
The UK Financial Services Industry: An Overview
What do banks do with the money t...,
What is the main purpose of a gilt,
Apart from physical assets what e...
25
cards
Serving The Retail Customer
What is the client information yo...,
When making recommendations what ...,
What should all communication be
124
cards
Principles And Rules Set Out In The Regulatory Framework
What is general prohibition,
To whom can you appeal if authori...,
Who is exempt from authorisation
34
cards
Laws And Legal Concepts Relevant To Financial Advice
What is a sole trader,
What tax is payable by a sole trader,
What is a partnership
30
cards
The Regulation Of Financial Services
What was the main objective of th...,
Which regulatory bodies were crea...,
What changes did the financial se...
20
cards
The UK Financial Regulators
Which regulator is responsible fo...,
Who governs the pra,
What is the primaryobjective of t...
86
cards
The Regualtory Advice Framwork
How did rdr affect advice,
What does the national occupation...,
What did the thoressen review of ...
51
cards
Client Advising Skills
What personal details should a fa...,
What financial info should a fact...,
What planning and objectives info...
12
cards
The FCAs Use Of Principles And Outcomes-based Regulation
What does hls prin1 set out,
What does hls prin2 state,
What does hls prin3 state
25
cards
Ethics And Professional Standards
What are the business benefits of...,
What are some of the ethical issu...,
What is the key driver of ethical...
9
cards
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R01
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