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

Decks in this class (32)

Excluded activity
No deck description has yet been added by the author.
10  cards
Glossary
No deck description has yet been added by the author.
64  cards
1.5 Exempt Persons
No deck description has yet been added by the author.
11  cards
2.0 The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) Strategic, Operational and Statutory Objectives
No deck description has yet been added by the author.
0  cards
2.1 The FCA's General Duties
No deck description has yet been added by the author.
7  cards
2.1.2 The PRA's Obligations
No deck description has yet been added by the author.
3  cards
2.1.3 The Principles of Good Regulation
No deck description has yet been added by the author.
9  cards
2.2 The Principles for Business
No deck description has yet been added by the author.
12  cards
2.2.1 Treating Customers Fairly (TCF)
No deck description has yet been added by the author.
15  cards
2.3 Statements of Principle and the Code of Practice for Approved Persons
No deck description has yet been added by the author.
3  cards
2.3.1 Statements of Principle for Approved Persons
No deck description has yet been added by the author.
11  cards
2.3.3 Code of Practice for Statement of Principle 2
No deck description has yet been added by the author.
8  cards
2.3.4 Code of Practice for Statement of Principle 3
No deck description has yet been added by the author.
1  cards
2.3.5 Code of Practice for Statement of Principle 4
No deck description has yet been added by the author.
3  cards
2.3.6 Code of Practice for Statement of Principle 5
No deck description has yet been added by the author.
5  cards
2.3.7 Code of Practice for Statement of Principle 6
No deck description has yet been added by the author.
6  cards
2.3.8 Code of Practice for Statement of Principle 7
No deck description has yet been added by the author.
2  cards
2.4 FCA SUPERVISION
No deck description has yet been added by the author.
0  cards
2.4.1 The Tools of Supervision
No deck description has yet been added by the author.
1  cards
2.4.2 Risk diagnosis, monitoring and prevention
No deck description has yet been added by the author.
3  cards
2.4.3 Risk-Based Approach
No deck description has yet been added by the author.
5  cards
2.4.4 The Main Steps in Risk Assessment
No deck description has yet been added by the author.
4  cards
2.5 Senior Management Arrangements, Systems and Controls
No deck description has yet been added by the author.
12  cards
UK CORP GOV CODE 1.1
No deck description has yet been added by the author.
9  cards
UK CORP GOV CODE 1.2 - The Status and Structure of the UK Corporate Governance Code
No deck description has yet been added by the author.
0  cards
The Regulatory Environment Questions
No deck description has yet been added by the author.
20  cards
Takeovers and Mergers Questions
No deck description has yet been added by the author.
25  cards
The FCA Conduct of Business Sourcebook Queestions
No deck description has yet been added by the author.
28  cards
Corporate Governance and Business Ethics Questions
No deck description has yet been added by the author.
16  cards
The Prospectus Rules
No deck description has yet been added by the author.
17  cards
Equity Capital Markets
No deck description has yet been added by the author.
70  cards
The regulatory environment in the UK
No deck description has yet been added by the author.
156  cards

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cf

  • Class purpose General learning

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