This class was created by Brainscape user Chelsee de Niet. Visit their profile to learn more about the creator.
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Chelsee de Niet
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Decks in this class (12)
The UK financial Services Industry
Both individuals and companies ha...,
What are the two options for gove...,
How does a gilt work
29
cards
Serving The Retail Customer
What is a flexible wol policy,
How often is the state pension ag...,
What is a defined benefit pension...
36
cards
Laws And Legal Concepts Relevant To Financial Advice
What is a sole trader,
How long does bankruptcy last,
When is a will automatically full...
37
cards
The Regulation Of Financial Services
What is the objective of the fina...,
What is the financial policy comm...,
Who are the pra
17
cards
Responsibilities And Approach To Regulaton
The prudential regulation authori...,
What are the 8 regulatory principles,
What does the fca use to prioriti...
38
cards
The FCA handbook
What financial recourses are fina...,
On what basis did the capital req...,
Why does the fca have rules regar...
21
cards
The FCA handbook Part 2
Who does block 1 high level of st...,
What are the minimum conditions w...,
What is prin
28
cards
Core Regulatory Principles And Rules
What is the maximum compensation ...,
If a new insurance company wants ...,
What does 4a permission set out i...
46
cards
The Regulatory Advice Framework
Which three providers of governme...,
Unsolicited real time financial p...,
What was the main reason for stak...
14
cards
Client Advising Skills
Why would you ask clients about t...,
After a product recommendation ha...,
What is provided in the initial m...
9
cards
The FCA’s Use Of Principles And Outcomes-based On Regulation
All firms must comply with how ma...,
The 11 general statements are,
The principle based regulations c...
4
cards
Ethics And Professional Standards
Which process is responsible for ...,
According to a guide set by the r...,
Ethics is at the _________ of fin...
13
cards
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R01 2023
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