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Jay Ngo
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Decks in this class (11)
5 - Understand the financial regulator's responsibilities and approach to regulations
Pra what are they responsible for,
Fpc what are they responsible for,
Fca what are they responsible for
66
cards
7 Core Regulatory Principles and Rules
What is general prohibition,
What is breach of s19 fsma and se...,
Who does pra authorise
69
cards
2 - Serving the Retail Customer
How can expenditure be broken down,
What is dmp,
What is the transfer of property ...
103
cards
8 - The Regulatory Advice Framework
Product informationwhat are the f...,
Product information,
What are the fca rules for collec...
61
cards
1 - Understand the UK financial Services industry in its European and global context
Four functions of financial services,
Who do building socities owned by,
Who are banks owned by
23
cards
3 - Laws and Legal Concepts relevant to financial advice
What is a sole trader,
What are sole trader liable for,
What is a partnership
41
cards
4 - The Regulation of Financial Services
Fpc definition,
Pra definition,
Fca definition
52
cards
6 : FCA Handbook
What is first section of fca hand...,
What are threshold conditions the...,
Hls principles of business prin d...
82
cards
9 - Client Advising Skills
What details does a fact find inc...,
Five key demand and needs,
How is it recommended to document...
9
cards
10 - FCA Use of Principles and Outcome based regulations
Hls prin 1,
Hls prin 2,
Hls prin 3
18
cards
11 - Ethics and Professional Standards
Ethics three points to know about...,
Ethics definition,
Difference in compliance and ethics
13
cards
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r01 2023
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