This class was created by Brainscape user Peter Ffoulkes. Visit their profile to learn more about the creator.
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Peter Ffoulkes
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Decks in this class (10)
RO1 - S.1 - the UK financial services industry in its European and global context
Which office issues gilts to rais...,
What is re insurance,
Which regulator regulates the cle...
6
cards
RO1 - S.2 - how the retail consumer is served by the financial services industry
Give an example of both a primary...,
What is the difference between se...,
What is a capped mortgage deal
48
cards
RO1 - S.3 - legal concepts and considerations relevant to financial advice
What is the difference between li...,
What was an enduring power of att...,
What are the two types of lasting...
29
cards
RO1 - S.4 - the regulation of financial services
What was the purpose of the finan...,
What effect did the financial ser...,
What committee did the boe financ...
12
cards
RO1 - S.5 - financial regulators’ responsibilities and approach to regulation
What are the 3 key committes that...,
What is the fcas one strategic ob...,
Which permissions do firms need t...
35
cards
RO1 - S.6 - Principles & Rules as set out in the regulatory framework
When would a firm be exempt from ...,
What does sm cr stand for,
What are the three categories the...
51
cards
RO1 - S.7 - . Apply the regulatory advice framework to ensure fair outcomes for the consumer
What is the difference between ge...,
What was the effect of mifid ii o...,
What is replacement business and ...
21
cards
RO1 - S.8 - skills required when advising clients
How does cobs 42 stipulate that c...,
What 2 pieces of documentation sh...,
What two pieces
11
cards
RO1 - S.9 - Ethics
How many principles are there und...,
Name 5 principles from prin,
If there is a prin breach who is ...
24
cards
Incorrect Mock Answers
Government approved products fall...,
Friendly societies were originall...,
Your customer dave has come to se...
189
cards
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RO1
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