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ro1 regulations and ethics of the finanacial system

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

By: Jacques Sheppard
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Decks in this class (14)

RO1 EEA Rules
When di the uk leave the eu,
What is the loss of pasporting ri...,
Which companies find
36  cards
The Context for The UK Financial Services
What are the 4 roles of financial...,
How does the financial service al...,
How does the financial service al...
47  cards
Consumers Needs And How To Meet Them
What is the role of a financial a...,
Why do many people not pursue pri...,
What does the advisor need to dis...
261  cards
Legal Concepts Relevant To UK Financial Services
What are the different forms of b...,
What is a sole trader,
How does aole trading work
103  cards
The Regulation Of The UK Financial Service
What did the financial act 2000 do,
What did the financial services a...,
Why was the financial services ac...
68  cards
The FCA Objectives and Approach
What are the three main bodies fo...,
What are the 3 statutory operatio...,
How does the fca protect consumers
62  cards
The FCA Handbook and Relvant Legislation
How many blocks is the fca handbo...,
Where were most of the content of...,
What is block 1 of the fca handbook
137  cards
Principles and Rules As Set Out In The Regualtory Framework
What is the general rule of prohi...,
What exemptions are there to the ...,
Describe a task that a solicitor ...
135  cards
Applying The Regualtory Framework In Practice For The Consummer
What is the distinction between i...,
What will constitute advice for a...,
How should advisors protect thems...
137  cards
Skills Required To Advise Clients
What is the standard approach set...,
What needs to happen when a clien...,
Can a previous fact find be used ...
34  cards
How The FCA Ensures Ethical Outcomes For Consumers
What is ethics,
How does the fca makesure individ...,
What are the principles for the f...
41  cards
Being Ethical
What does good ethics lead to,
What are some of the bad ethics s...,
What changes in the financial ind...
45  cards
Acronyms
Fca,
Pra,
Tpr
8  cards
Things I Need To Revise
What doesn t the fca cover,
What are the 3 pillars of risk ba...,
What are the 10 principles of sup...
66  cards

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ro1 regulations and ethics of the finanacial system

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