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UK Regulation and Professional Integrity - Jul 2024

This class was created by Brainscape user David Bailey. Visit their profile to learn more about the creator.

By: David Bailey
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Decks in this class (12)

Unit 1 - UK FS sector (2 of 80)
Government s economic policy 4 aims,
Official term for uk budget deficit,
Balanced budget multiplier
24  cards
Unit 2 - UK FS & Consumer Relations (4 of 80)
6 stages of people s lifecycle,
What are stakeholder pensions,
Income tax personal allowance
11  cards
Unit 3 - UK Contract & Trust Legislation (2 of 80)
Capacity to contract,
Who can lack capacity to contract,
Natural vs legal person
26  cards
Unit 4 - Integrity and Ethics (8 of 80)
What is integrity,
What is the universalation test,
What is utilitarianism
10  cards
Unit 5 - Uk Regulatory Infrastucture (6 of 80)
What does the pra regulate 4,
What does the fca regulate 3,
Who established the fpc and what ...
44  cards
Unit 6 - FCA/PRA Supervisory Objectives (7 of 80)
How does fca define supervision,
What are the fca s 2 methods of s...,
What are the fca s 8 supervisory ...
31  cards
Unit 7 PRA/FCA Authorisation (12 of 80)
Which activities are regulated,
What are the fca 12 principle,
What are the 5 purposed of the se...
19  cards
Unit 8 - Financial Crime 1 (18 of 80)
How does the fca believe good cul...,
Why is effective governence impor...,
What is the financial crime guide...
31  cards
Unit 8 - Financial Crime 2 (18 of 80
What did the economic crime act 2...,
The,
What are
29  cards
Unit 9 - Complaints & Compensation (3 of 80)
What is the role of the fos,
How does the fca define a complaint,
How long does a complainant have ...
20  cards
Unit 10 - FCA COBS and Client Assets Part 1 (18 or 80)
Which activities are subject to cobs,
What is a durable medium,
What are the rules regarding webs...
34  cards
Unit 10 - FCA COBS and Client Assets Part 2 (18 or 80)
What information should be provid...,
What information should be provid...,
What information needs to be prov...
29  cards

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UK Regulation and Professional Integrity - Jul 2024

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