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  • CISI UK Financial Regulations
    CISI UK Financial Regulations

    CISI UK Financial Regulations

    By: Bethan Parfitt
    1. The Regulatory Environment, 2. The Financial Services and Markets Act 2000 and Financial Services Act 2012, 3. Associate Legislation and Regulation ...
    6
    Decks
    797
    Flashcards
    189
    Learners
  • Senior Clerk Exam Prep
    Senior Clerk Exam Prep

    Senior Clerk Exam Prep

    By: Crystal F
    Test questions, Mental Hygiene Law, FCA Article 3 ...
    19
    Decks
    207
    Flashcards
    4
    Learners
  • CeMAP Unit 2
    CeMAP Unit 2

    CeMAP Unit 2

    By: JOSHUA SAVIDENT
    Topic 17 The FCA's Aims & Activities, Topic 17 FCA's Aims & Activities Part 2, Topic 18 Regulating Firms & Individuals ...
    11
    Decks
    646
    Flashcards
    3
    Learners
  • LEVEL 6 Regulation and Compliance
    LEVEL 6 Regulation and Compliance

    LEVEL 6 Regulation and Compliance

    By: Rachel Brooker
    REGULATORY FRAMEWORK, GLOSSARY, Regulatory Framework - European Regulation ...
    17
    Decks
    683
    Flashcards
    2
    Learners
  • RO1 Feb 2021
    RO1 Feb 2021

    RO1 Feb 2021

    By: Emma Layton
    Financial Services Regulation & Ethics, Lifetime ISA, Legal Concepts and Regulation ...
    7
    Decks
    628
    Flashcards
    22
    Learners
  • R01 Study
    R01 Study

    R01 Study

    By: Simon Large
    Chapter One: The UK Financial Services Industry: An Overview, Chapter Two: Serving the Retail Customer, Chapter Three: Laws & Legal Concepts ...
    11
    Decks
    301
    Flashcards
    13
    Learners
  • Senior Court Clerk Practice Test
    Senior Court Clerk Practice Test

    Senior Court Clerk Practice Test

    By: Jennifer Lloyd
    Practice Test (CPLR, CPL, FCA)
    1
    Decks
    56
    Flashcards
    14
    Learners
  • M80
    M80

    M80

    By: Shani higgs
    Regulatory:PRA & FCA, Regulatory 2: Commercial And Legislative Aspects, 4: Statistical Data ...
    6
    Decks
    134
    Flashcards
    48
    Learners
  • R01 CS
    R01 CS

    R01 CS

    By: Charlotte Scott
    Protection & Insurance, Types Of Client & Business, Regulatory Advice Process ...
    15
    Decks
    219
    Flashcards
    3
    Learners
  • UK Regulation
    UK Regulation

    UK Regulation

    By: Ella Statham
    Regulatory Environment, FSMA 2000 And FSA 2012, Associated Legislation And Regulation ...
    6
    Decks
    406
    Flashcards
    4
    Learners
  • Chapter 3 - Regulation of financial markets and institutions
    Chapter 3 - Regulation of financial markets and institutions

    Chapter 3 - Regulation of financial markets and institutions

    By: Tunji Adeniyi
    3.2: UK REGULATION, 3.3: FCA: OBJECTIVES AND HIGH-LEVEL STANDARDS, 3.4: REGULATION OF INVESTMENT EXCHANGES ...
    7
    Decks
    99
    Flashcards
    1
    Learner
  • Physiology for Anaesthetists
    Physiology for Anaesthetists

    Physiology for Anaesthetists

    By: Charles Pryce
    Cell biology, General organization of the body, Genetics and Ageing ...
    61
    Decks
    1,719
    Flashcards
    8
    Learners
  • Family Court Act
    Family Court Act

    Family Court Act

    By: Steve Blank
    Article 1, Article 2, Article 3 ...
    21
    Decks
    490
    Flashcards
    59
    Learners
  • UK FINANCIAL REGULATION
    UK FINANCIAL REGULATION

    UK FINANCIAL REGULATION

    By: Ma Sha
    All definitions, OTHER DIRECT INVESTMENTS, COLLECTIVE INVESTMENTS ...
    18
    Decks
    288
    Flashcards
    144
    Learners
  • CeMAP 1 (Unit two)
    CeMAP 1 (Unit two)

    CeMAP 1 (Unit two)

    By: Grace Barritt
    Topic 17 (The FCA's aims and activities), Topic 18 (Regulating firms and individual), Topic 19 (Prudential supervision) ...
    9
    Decks
    192
    Flashcards
    116
    Learners
  • CII - IF1 (Chapter 5 - Good Faith)
    CII - IF1 (Chapter 5 - Good Faith)

    CII - IF1 (Chapter 5 - Good Faith)

    By: katy mainwaring
    Principle of utmost good faith, Impact of FCA/legislation on utmost good faith, Material Facts ...
    4
    Decks
    47
    Flashcards
    7
    Learners
  • R01: Financial Services, Regulation and Ethics
    R01: Financial Services, Regulation and Ethics

    R01: Financial Services, Regulation and Ethics

    By: Jonathon Brand
    1. The UK Financial Services Industry: An Overview, 2. Serving the Retail Consumer, 3. Laws and Legal Concepts Relevant to Financial Advice ...
    9
    Decks
    629
    Flashcards
    19
    Learners
  • Clerk Training Decks
    Clerk Training Decks

    Clerk Training Decks

    By: C P
    FCA 10, FCA 10 TRAINING NOTES, FCA ART 3 VOLUME 1 MASTER
    3
    Decks
    221
    Flashcards
    2
    Learners
  • CeMAP 1 - BigBoyPritch
    CeMAP 1 - BigBoyPritch

    CeMAP 1 - BigBoyPritch

    By: Rhys Pritchard
    Endowments, Inheritance Tax, State Benefits ...
    10
    Decks
    228
    Flashcards
    9
    Learners
  • CISI UK Financial Regulation 2024
    CISI UK Financial Regulation 2024

    CISI UK Financial Regulation 2024

    By: Jack Eden
    Last Minute Study / Past Paper Questions / AI Questions, Chapter 1: The Regulatory Environment, Chapter 4: The FCA Conduct of Business and Client Assets Sourcebooks
    8
    Decks
    313
    Flashcards
    8
    Learners
  • CISI Unit 1
    CISI Unit 1

    CISI Unit 1

    By: Laurence Jones
    Unit 1 (Glossary), Unit 1 - 1. The Regulatory Environment, Unit 1 - 2. The Financial Services and Markets Act 2000 and Financial Services Act 2012 ...
    7
    Decks
    379
    Flashcards
    48
    Learners
  • CF
    CF

    CF

    By: Andreas Avraam
    Excluded activity, Glossary, 1.5 Exempt Persons ...
    32
    Decks
    536
    Flashcards
    2
    Learners
  • R01 Chapter 5A: Responsibilities and approach to regulation
    R01 Chapter 5A: Responsibilities and approach to regulation

    R01 Chapter 5A: Responsibilities and approach to regulation

    By: Lauren Tall
    5A.1 The Financial Services Act 2012, 5A.2 FCA - The basics, 5A.3 FCA divisions ...
    4
    Decks
    272
    Flashcards
    2
    Learners
  • CII: R01 2020-21
    CII: R01 2020-21

    CII: R01 2020-21

    By: Lucie Sudworth
    1 - The UK Financial Services Industry: An Overview, 2 - Serving the retail consumer, 3 - Laws and Legal concepts relevant to financial advice ...
    9
    Decks
    167
    Flashcards
    43
    Learners
  • R01 2023
    R01 2023

    R01 2023

    By: Jay Ngo
    5 - Understand the financial regulator's responsibilities and approach to regulations, 7 Core Regulatory Principles and Rules, 2 - Serving the Retail Customer ...
    11
    Decks
    537
    Flashcards
    3
    Learners
  • IAD Level 1
    IAD Level 1

    IAD Level 1

    By: Helen Chua
    Chapter 1: The UK Financial Services Sector, Chapter 2: UK Financial Services and Consumer Relationships, Chapter 3: UK Contract and Trust Legislation ...
    17
    Decks
    369
    Flashcards
    3
    Learners
  • mortgages types / types of borrowers
    mortgages types / types of borrowers

    mortgages types / types of borrowers

    By: Andrew McKechnie
    WEEK 6: mortgage types / types of borrowers, mortgage associated products WEEK 9, mortgage regulation WEEK 11 ...
    6
    Decks
    101
    Flashcards
    2
    Learners
  • Cemap unit 1
    Cemap unit 1

    Cemap unit 1

    By: Molly Hill
    unit 1 into to financial services, unit 1 topic 2- economic policy, Unit 1 topic 3 - Taxation ...
    25
    Decks
    818
    Flashcards
    951
    Learners
  • CII R01 - Chapter 5
    CII R01 - Chapter 5

    CII R01 - Chapter 5

    By: Mia Savory
    A. UK Regulatory Landscape, B. FCA Objectives, C. Scope And Powers ...
    5
    Decks
    22
    Flashcards
    2
    Learners
  • VJC Resources 2023
    VJC Resources 2023

    VJC Resources 2023

    By: Antoinette Moore
    FCA, CPLR 3, CPLR 11 ...
    6
    Decks
    466
    Flashcards
    1
    Learner

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