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Learn Uk Financial Regulations

Study Uk Financial Regulations using smart web & mobile flashcards created by top students, teachers, and professors. Prep for a quiz or learn for fun!
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  • UKFR
    UKFR

    UKFR

    By: Kelsey Phillips
    U1: T1 - INTRODUCING THE FINANCIAL SERVICES INDUSTRY, U1: T2 - ECONOMICS POLICY AND FINANCIAL REGULATION, U1: T3 - UK TAXATION I ...
    27
    Decks
    1,071
    Flashcards
    6
    Learners
  • R01
    R01

    R01

    By: James Coldwell
    Chapter 1 - UK Financial Services Overview, Exam extras, Chapter 3 - Laws And Legal Concepts ...
    7
    Decks
    377
    Flashcards
    6
    Learners
  • FSRE - Josh
    FSRE - Josh

    FSRE - Josh

    By: Josh Freire-Mckinnell
    Topic 1 - The role and structure of financial markets, Topic 2 - The role of the Government, Topic 3 - Meeting customers needs and priorities ...
    18
    Decks
    407
    Flashcards
    84
    Learners
  • IMC Chapter 3
    IMC Chapter 3

    IMC Chapter 3

    By: Emily Havers
    MiFID/ MiFID II/ MiFIR, UCITS Directive/ AIFMD/ Additional, UK Regulation ...
    19
    Decks
    340
    Flashcards
    12
    Learners
  • R01 2023
    R01 2023

    R01 2023

    By: Chelsee de Niet
    The UK financial Services Industry, Serving The Retail Customer, Laws And Legal Concepts Relevant To Financial Advice ...
    12
    Decks
    292
    Flashcards
    11
    Learners
  • IMC UNIT 1 (Edition 21 - Dec 23)
    IMC UNIT 1 (Edition 21 - Dec 23)

    IMC UNIT 1 (Edition 21 - Dec 23)

    By: Nina Blackie
    C1 - Financial Markets & Institutions, C2 - Ethics & Investment Professionalism, C3 - Regulation of Financial Markets & Institutions ...
    7
    Decks
    450
    Flashcards
    3
    Learners
  • 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
    4
    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
  • CII RO1 Exam Flashcards
    CII RO1 Exam Flashcards

    CII RO1 Exam Flashcards

    By: Nikita Phillips
    Unit 1 - The UK Financial Services Industry: An Overview, Unit 2 - Serving the Retail Consumer, Unit 3 - Laws and Legal Concepts Relevant To Financial Advice ...
    4
    Decks
    99
    Flashcards
    20
    Learners
  • UKFR
    UKFR

    UKFR

    By: Lee Stapleton
    Intro financial Services Industry, Economic Policy And Financial Regulation, UK Taxation 1 ...
    25
    Decks
    288
    Flashcards
    3
    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
  • Risk Management
    Risk Management

    Risk Management

    By: O B
    1.1 The global risk environment, 1.2 The importance of risk management: a stakeholder approach, 1.3 Reasons for risk management ...
    91
    Decks
    854
    Flashcards
    13
    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
  • CeMAP Unit 1
    CeMAP Unit 1

    CeMAP Unit 1

    By: JOSHUA SAVIDENT
    Topic 1 An Introduction To The Financial Services Industry, Topic 2: Economic Policy & Financial Regulation, Topic 3 UK Taxation ...
    18
    Decks
    1,162
    Flashcards
    3
    Learners
  • R01 Karim
    R01 Karim

    R01 Karim

    By: Karim Mostafa
    Chapter 1 Summary Points, Chapter 2: How the retail consumer is served by the financial services industry, Chapter 3: Legal concepts and considerations relevant to financial advice ...
    11
    Decks
    154
    Flashcards
    3
    Learners
  • IMC Unit 1 -Chapter 3
    IMC Unit 1 -Chapter 3

    IMC Unit 1 -Chapter 3

    By: Sam Nota
    Section 3.1 - International Regulation: EU Directives, Regulation and Guidance, Section 3.2 - UK regulation, Section 3.3 - FCA Objectives and Standards ...
    8
    Decks
    166
    Flashcards
    3
    Learners
  • Investment Environment
    Investment Environment

    Investment Environment

    By: Freddie Melvin
    Chapter 1 - Financial Markets and Institutions, Chapter 2 - Ethics and Investment Professionalism, Chapter 3 - The Regulation of Financial Markets and Institutions ...
    7
    Decks
    493
    Flashcards
    6
    Learners
  • R01 - Financial Services, Regulation and Ethics
    R01 - Financial Services, Regulation and Ethics

    R01 - Financial Services, Regulation and Ethics

    By: Sam Cross
    Chapter 1A - Overview, Chapter 1B - UK Financial Services Structure, Chapter 1C - The Role and Structure of International Markets ...
    10
    Decks
    367
    Flashcards
    6
    Learners
  • LIBF - Certificate in Business Banking and Conduct
    LIBF - Certificate in Business Banking and Conduct

    LIBF - Certificate in Business Banking and Conduct

    By: James Bloor
    Corporate Responsibility and Banking Regulation, The UK Business Banking Sector, Taxation ...
    16
    Decks
    90
    Flashcards
    8
    Learners
  • Macro
    Macro

    Macro

    By: Ollie Brown
    Measures of Economic Performance, Aggregate Demand, UK Macro Data 2024 ...
    5
    Decks
    117
    Flashcards
    1
    Learner
  • Class Name
    Class Name

    Class Name

    By: R T
    Topic 1 - FS Industry, Topic 2 - Economic Policy & Financial Regulation, Topic 3 - UK Taxation 1 ...
    25
    Decks
    410
    Flashcards
    8
    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
  • CII R01
    CII R01

    CII R01

    By: Adam Bradbury
    8. Client Advising Skills, 7. The Regulatory Advice Framework, 6. Principles & Rules as Set out in the Regulatory Framework ...
    10
    Decks
    60
    Flashcards
    33
    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
  • Interpreting Financial & Accounting Information
    Interpreting Financial & Accounting Information

    Interpreting Financial & Accounting Information

    By: O B
    1.1 Regulatory framework - introduction, 1.2 The need for a regulatory framework, 1.3 Agency theory and the role of corporate governance ...
    161
    Decks
    916
    Flashcards
    30
    Learners
  • IMC Unit 1
    IMC Unit 1

    IMC Unit 1

    By: Holly Noble
    Financial Markets and Institutions, Ethics and Investment Professionalism, The Regulation of Financial Markets Institutions ...
    6
    Decks
    208
    Flashcards
    1
    Learner
  • BTF
    BTF

    BTF

    By: ha ha
    Chapter 2 - Managing a business, Chapter 3 - Organisational and business structures, Chapter 4 - Introduction to business strategy ...
    13
    Decks
    646
    Flashcards
    1
    Learner
  • IMC Unit 1
    IMC Unit 1

    IMC Unit 1

    By: Lili Brown
    1 - Financial Markets and Intermediaries, 2 - Ethics and Investment Principles, 3 - Regulation of Financial Markets ...
    6
    Decks
    191
    Flashcards
    1
    Learner
  • 3. Regulation of Financial Markets and Institutions
    3. Regulation of Financial Markets and Institutions

    3. Regulation of Financial Markets and Institutions

    By: ed stringer
    International and European Union Directives, Regulation and Guidance, FCA BS: Investment Research, FCA BS - Product Governance and Disclosure Requirements ...
    14
    Decks
    199
    Flashcards
    3
    Learners
  • 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

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