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Learn Financial Services, Regulation And Ethics

Study Financial Services, Regulation And Ethics using smart web & mobile flashcards created by top students, teachers, and professors. Prep for a quiz or learn for fun!
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  • Certified Financial Planner (Nov 2023)
    Certified Financial Planner (Nov 2023)

    Certified Financial Planner (Nov 2023)

    By: David Giles
    A.3 Function, purpose, and general structure of financial institutions, A. Professional Conduct and Regulation (8%), A.1 CFP Board’s Code of Ethics and Standards of Conduct ...
    6
    Decks
    82
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    6
    Learners
  • CISI: International Introduction to Securities & Investment
    CISI: International Introduction to Securities & Investment

    CISI: International Introduction to Securities & Investment

    By: Jasmine Curtis
    Chapter 1: The Financial Services Sector, Chapter 2: The Economic Environment, Chapter 3: Financial Assets and Markets ...
    9
    Decks
    33
    Flashcards
    11
    Learners
  • Certified Financial Planner CFP®Terms
    Certified Financial Planner CFP®Terms

    Certified Financial Planner CFP®Terms

    By: David Giles
    A.1 CFP Board’s Code of Ethics and Standards of Conduct, A.2 CFP Board’s Procedural Rules, A.3 Function, purpose, and general structure of financial institutions ...
    10
    Decks
    190
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    2
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  • 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
    714
    Flashcards
    1
    Learner
  • PcM
    PcM

    PcM

    By: Jared Ignacio
    1.1: Assess Resources Within the Practice, 1.2 Apply the Regulations and Requirements Governing the Work Environment, 1.3: Apply Ethical Standards to Comply with Accepted Principles Within a Given Situation ...
    14
    Decks
    237
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    1
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  • General Principals
    General Principals

    General Principals

    By: Paige Gordon
    Sec. 1 - Ch.2: Standards & Ethics, Sec. 1 - Ch.3: Financial Statements & Cash Flow, Sec. 1 - Ch.5: Financial Institutes ...
    8
    Decks
    117
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    1
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  • Audit
    Audit

    Audit

    By: push iyer13
    Audit - Independent MCQs & Integrated Case Study, SQC 1 - Quality Control for Firms that Perform Audits & Reviews of Historical Financial Information & Other Assurance & Related Service Engagements, SA 200 – Overall Objectives of the Independent Auditor and Conduct of an Audit in accordance with SA ...
    40
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    208
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    1
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  • Intro to FP
    Intro to FP

    Intro to FP

    By: Susanna Pinto
    1 Basic Economic Concepts, 2 Time Value of Money, 3 Business Law ...
    15
    Decks
    16
    Flashcards
    1
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