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  • Regulation & Compliance Chapter 1, 2 & 4
    Regulation & Compliance Chapter 1, 2 & 4

    Regulation & Compliance Chapter 1, 2 & 4

    By: Luke O'Mahoney
    Overview of UK Financial Services Regulation, Regulated Activities, Authorisation and MIFID, Penalties for breaching FSMA 2000 & Collective Invest Scheme ...
    14
    Decks
    240
    Flashcards
    5
    Learners
  • LM1
    LM1

    LM1

    By: Laura Bowen
    Chapter 1 - Fundamentals, Chapter 2- Principles And Terminology, Chapter 3- COBs in London Market ...
    8
    Decks
    156
    Flashcards
    554
    Learners
  • IOC - UK Financial Regulation
    IOC - UK Financial Regulation

    IOC - UK Financial Regulation

    By: Radleigh Foster
    IOC - Regulatory Environment, IOC - FSMA 2000 FSA 2012, IOC - Legislation And Regulation ...
    5
    Decks
    78
    Flashcards
    70
    Learners
  • FCA Exams
    FCA Exams

    FCA Exams

    By: Meryl Ong
    Chapter 1, Chapter 2 COBS, Chapter 3 Corporate Governance ...
    6
    Decks
    312
    Flashcards
    3
    Learners
  • CeMap Mock Revision
    CeMap Mock Revision

    CeMap Mock Revision

    By: MD Tohidul Islam
    UK Fr Unit 1, CoBs Rules 1&2, Regulating Firms ...
    6
    Decks
    98
    Flashcards
    27
    Learners
  • UK Financial Regulations
    UK Financial Regulations

    UK Financial Regulations

    By: Andrea Ruiz
    COBS/CASS
    1
    Decks
    175
    Flashcards
    3
    Learners
  • Environmental Science
    Environmental Science

    Environmental Science

    By: William Barnes
    Life Processes in the Biosphere, The Conditions for Life on Earth, Selected Habitats (CoB) ...
    12
    Decks
    424
    Flashcards
    1
    Learner
  • Corporate Finance Regulation
    Corporate Finance Regulation

    Corporate Finance Regulation

    By: Phil Moore
    1. Regulatory Infrastructure, 2. The Role of the FCA and the PRA, 3. Company Law 4. AML and CTF ...
    25
    Decks
    724
    Flashcards
    1
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  • CWM Applied Wealth Management
    CWM Applied Wealth Management

    CWM Applied Wealth Management

    By: Alex Brangham
    Chapter 3 - Investment Planning, Pensions, Drawing Pension Benefits ...
    27
    Decks
    843
    Flashcards
    1
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  • UK Regulation and Professional Integrity - Jul 2024
    UK Regulation and Professional Integrity - Jul 2024

    UK Regulation and Professional Integrity - Jul 2024

    By: David Bailey
    Unit 1 - UK FS sector (2 of 80), Unit 2 - UK FS & Consumer Relations (4 of 80), Unit 3 - UK Contract & Trust Legislation (2 of 80) ...
    12
    Decks
    308
    Flashcards
    13
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  • Sociology
    Sociology

    Sociology

    By: Charlie Dacey
    Class - School Factors, Class Differenves, Concepts ...
    11
    Decks
    80
    Flashcards
    1
    Learner
  • WEEK 4 (MOD 2)
    WEEK 4 (MOD 2)

    WEEK 4 (MOD 2)

    By: Herlita Carcallas
    THIRD-PARTY PAYER REQS, VERIFYING INSURANCE ELIGIBILITY & BENEFITS, FINANCIAL CONSIDERATIONS ...
    4
    Decks
    75
    Flashcards
    1
    Learner
  • July Ranzcog Guidelines
    July Ranzcog Guidelines

    July Ranzcog Guidelines

    By: Delwyn Munn
    C-Gyn 14 Abdominal Sacrocolpoexy, C-Obs 36 Term PROM, 2020 Endometriosis ...
    8
    Decks
    49
    Flashcards
    22
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  • IAD Level 4
    IAD Level 4

    IAD Level 4

    By: Lucy O’Connor
    Chapter 10- Application of COBS, Chapter 8: Financial Crime, Chapter 4: Ethics CISI Codes Of Conduct ...
    4
    Decks
    153
    Flashcards
    7
    Learners
  • UK Financial Regulation
    UK Financial Regulation

    UK Financial Regulation

    By: Jennie Acharjee
    FCA's COBS & CASS, Regulatory Environment, FSMA 2000 & Financial Services Act 2012 ...
    5
    Decks
    49
    Flashcards
    10
    Learners
  • Science Trans II - Exam 1
    Science Trans II - Exam 1

    Science Trans II - Exam 1

    By: Catherine Desjardins
    Systémes De Groupes Sanguins, Systèmes P, Effect De Dose Et Autre ...
    20
    Decks
    300
    Flashcards
    2
    Learners
  • KIN 100
    KIN 100

    KIN 100

    By: Hannah S
    QUIZ 2, Test 2 COB 204, Quiz 3 ...
    4
    Decks
    49
    Flashcards
    1
    Learner
  • PART1- UK REGULATIONS
    PART1- UK REGULATIONS

    PART1- UK REGULATIONS

    By: Kaashni Malik
    COBS and CASS, Ch 3. Legislation and Regulation, Mixed mock
    3
    Decks
    52
    Flashcards
    1
    Learner
  • SA2 Acronyms
    SA2 Acronyms

    SA2 Acronyms

    By: First Last
    Critical illness, Critical illness anti selection mitigation, Critical illness needs met ...
    38
    Decks
    318
    Flashcards
    29
    Learners
  • UK regs and profess integrity
    UK regs and profess integrity

    UK regs and profess integrity

    By: Jayde Rose
    1. UK Financial Services Sector, 5. Reg infrastructure, 8 - fin crime ...
    6
    Decks
    183
    Flashcards
    1
    Learner
  • A-Level History
    A-Level History

    A-Level History

    By: Philip McClory
    The Crusades Points Test 1 - Background to the First Crusade, The Crusades Points Test 2 - The First Crusade's Course and Impact, The Crusades Points Test 3 - The Establishment of the Crusader States, 1099-1144 ...
    54
    Decks
    2,006
    Flashcards
    178
    Learners
  • Ciii - CF1
    Ciii - CF1

    Ciii - CF1

    By: R T
    1. Purpose & Structure Of The UK FS Industry, 2. Main Areas of Financial Advice: The Present, 3. Areas of Financial Advice: The Future ...
    12
    Decks
    127
    Flashcards
    18
    Learners
  • IOC Financial Regulation
    IOC Financial Regulation

    IOC Financial Regulation

    By: Fraser Wright
    Chapter 3 - Assc Legislation and Regulation, Chapter 1 - Regulatory Environment, Chapter 2 - FSMA 200 and FSA 2012 ...
    5
    Decks
    172
    Flashcards
    1
    Learner
  • UK Regulation and Professional Integrity - Feb 2025
    UK Regulation and Professional Integrity - Feb 2025

    UK Regulation and Professional Integrity - Feb 2025

    By: Duo Duo
    Unit 1 - UK FS sector (2 of 80), Unit 2 - UK FS & Consumer Relations (4 of 80), Unit 3 - UK Contract & Trust Legislation (2 of 80) ...
    12
    Decks
    308
    Flashcards
    1
    Learner
  • Financial Institutions
    Financial Institutions

    Financial Institutions

    By: Laura Tomich
    Definitions, COB Rules, COI ...
    4
    Decks
    120
    Flashcards
    1
    Learner
  • 2/ OPÉRATION EMPLOI
    2/ OPÉRATION EMPLOI

    2/ OPÉRATION EMPLOI

    By: Jv Nounours
    Circulaire n° 100000 Emploi des COB et BTA, Circulaire n° 165000 Exercice de la PJ, Circulaire n° 150000 Emploi des EDSR ...
    11
    Decks
    135
    Flashcards
    23
    Learners
  • Prelim Business Studies final exam
    Prelim Business Studies final exam

    Prelim Business Studies final exam

    By: Sienna Bou
    9.1 NATURE OF BUSINESS - Role of business (NOB), 9.1 NATURE OF BUSINESS - Type of business (COB), 9.1 NATURE OF BUSINESS - influences in the business environment ...
    9
    Decks
    111
    Flashcards
    5
    Learners
  • Computer Information Systems
    Computer Information Systems

    Computer Information Systems

    By: Gracie Nathan
    COB Test #1
    1
    Decks
    43
    Flashcards
    1
    Learner
  • AF7 20/21
    AF7 20/21

    AF7 20/21

    By: Colin stone
    STATEMENT OF ENTITLEMENT, PENSION TRANSFER ADVICE, CASHFLOW MODELLING ...
    18
    Decks
    40
    Flashcards
    3
    Learners
  • FCA Regulations
    FCA Regulations

    FCA Regulations

    By: Mads Bowden
    Chapter 4: Conduct of Business Sourcebook (COBS)
    1
    Decks
    53
    Flashcards
    1
    Learner

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