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Learn Uk Financial Regulation

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

Top Uk Financial Regulation Flashcards Ranked by Quality

  • Regulation & Compliance Chapter 1, 2 & 4
    Regulation & Compliance Chapter 1, 2 & 4

    Regulation & Compliance Chapter 1, 2 & 4

    By: Luke O'Mahoney
    240 Cards – 
    14 Decks – 
    4 Learners
    Sample Decks: Overview of UK Financial Services Regulation, Regulated Activities, Authorisation and MIFID, Penalties for breaching FSMA 2000 & Collective Invest Scheme
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  • R01 CS
    R01 CS

    R01 CS

    By: Charlotte Scott
    219 Cards – 
    15 Decks – 
    3 Learners
    Sample Decks: Protection & Insurance, Types Of Client & Business, Regulatory Advice Process
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  • UKFR
    UKFR

    UKFR

    By: Lee Stapleton
    288 Cards – 
    25 Decks – 
    2 Learners
    Sample Decks: Intro financial Services Industry, Economic Policy And Financial Regulation, UK Taxation 1
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  • R01 Karim
    R01 Karim

    R01 Karim

    By: Karim Mostafa
    154 Cards – 
    11 Decks – 
    3 Learners
    Sample Decks: 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
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  • CII RO1 Exam Flashcards
    CII RO1 Exam Flashcards

    CII RO1 Exam Flashcards

    By: Nikita Phillips
    99 Cards – 
    4 Decks – 
    14 Learners
    Sample Decks: 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
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  • Class Name
    Class Name

    Class Name

    By: R T
    410 Cards – 
    25 Decks – 
    8 Learners
    Sample Decks: Topic 1 - FS Industry, Topic 2 - Economic Policy & Financial Regulation, Topic 3 - UK Taxation 1
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  • Risk Management
    Risk Management

    Risk Management

    By: O B
    854 Cards – 
    91 Decks – 
    11 Learners
    Sample Decks: 1.1 The global risk environment, 1.2 The importance of risk management: a stakeholder approach, 1.3 Reasons for risk management
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  • Investment Environment
    Investment Environment

    Investment Environment

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

    R01 - Financial Services, Regulation and Ethics

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

    LIBF - Certificate in Business Banking and Conduct

    By: James Bloor
    90 Cards – 
    16 Decks – 
    6 Learners
    Sample Decks: Corporate Responsibility and Banking Regulation, The UK Business Banking Sector, Taxation
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  • CII R01 - Chapter 5
    CII R01 - Chapter 5

    CII R01 - Chapter 5

    By: Mia Savory
    22 Cards – 
    5 Decks – 
    1 Learner
    Sample Decks: A. UK Regulatory Landscape, B. FCA Objectives, C. Scope And Powers
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  • CII R01
    CII R01

    CII R01

    By: Adam Bradbury
    60 Cards – 
    10 Decks – 
    32 Learners
    Sample Decks: 8. Client Advising Skills, 7. The Regulatory Advice Framework, 6. Principles & Rules as Set out in the Regulatory Framework
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  • 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
    99 Cards – 
    7 Decks – 
    1 Learner
    Sample Decks: 3.2: UK REGULATION, 3.3: FCA: OBJECTIVES AND HIGH-LEVEL STANDARDS, 3.4: REGULATION OF INVESTMENT EXCHANGES
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  • BTF
    BTF

    BTF

    By: ha ha
    646 Cards – 
    13 Decks – 
    1 Learner
    Sample Decks: Chapter 2 - Managing a business, Chapter 3 - Organisational and business structures, Chapter 4 - Introduction to business strategy
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  • Interpreting Financial & Accounting Information
    Interpreting Financial & Accounting Information

    Interpreting Financial & Accounting Information

    By: O B
    916 Cards – 
    161 Decks – 
    29 Learners
    Sample Decks: 1.1 Regulatory framework - introduction, 1.2 The need for a regulatory framework, 1.3 Agency theory and the role of corporate governance
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  • 3. Regulation of Financial Markets and Institutions
    3. Regulation of Financial Markets and Institutions

    3. Regulation of Financial Markets and Institutions

    By: ed stringer
    199 Cards – 
    14 Decks – 
    3 Learners
    Sample Decks: International and European Union Directives, Regulation and Guidance, FCA BS: Investment Research, FCA BS - Product Governance and Disclosure Requirements
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  • FSRE - DIPFA
    FSRE - DIPFA

    FSRE - DIPFA

    By: Ned Clonan
    175 Cards – 
    20 Decks – 
    54 Learners
    Sample Decks: Topic 1 The role and structure of financial markets, Topic 2 The role of government, Topic 3 Financial services in the wider economy
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  • CF
    CF

    CF

    By: Andreas Avraam
    536 Cards – 
    32 Decks – 
    2 Learners
    Sample Decks: Excluded activity, Glossary, 1.5 Exempt Persons
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  • CeMAP 1, 2 & 3
    CeMAP 1, 2 & 3

    CeMAP 1, 2 & 3

    By: Storm Wheatley
    35 Cards – 
    55 Decks – 
    66 Learners
    Sample Decks: CeMAP 1 UKFR 20/21 - Unit 1 - Topic 1 Introduction to the Financial Service Industry, CeMAP 1 UKFR 20/21 - Unit 1 - Topic 2 Economic Policy and Financial Regulation, CeMAP 1 UKFR 20/21 - Unit 1 - Topic 3 UK Taxation 1
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  • My CeMap 1
    My CeMap 1

    My CeMap 1

    By: Joel Mitchell
    149 Cards – 
    17 Decks – 
    25 Learners
    Sample Decks: Topic 1: Introducing the Financial Industry, Topic 2: Economic policy and financial regulation, Topic 3: UK Taxation 1
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  • R01
    R01

    R01

    By: Jemma Trezza
    31 Cards – 
    2 Decks – 
    1 Learner
    Sample Decks: Chapter 1 - The UK financial services industry: an overview, Chapter 5.1 Responsibilities and Approach to Regulation
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  • IMC Unit 1 -Chapter 3
    IMC Unit 1 -Chapter 3

    IMC Unit 1 -Chapter 3

    By: Sam Nota
    166 Cards – 
    8 Decks – 
    1 Learner
    Sample Decks: Section 3.1 - International Regulation: EU Directives, Regulation and Guidance, Section 3.2 - UK regulation, Section 3.3 - FCA Objectives and Standards
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  • R01
    R01

    R01

    By: Jacob Graham
    79 Cards – 
    4 Decks – 
    1 Learner
    Sample Decks: Chapter 1 - UK Financial Services (European & Global Context), Chapter 4 - Financial Services Regulation, Chapter 3 - Legal Concepts And Considerations
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  • Interpreting Financial & Accounting Information (CGI) 2023
    Interpreting Financial & Accounting Information (CGI) 2023

    Interpreting Financial & Accounting Information (CGI) 2023

    By: Jirina Buckland
    928 Cards – 
    161 Decks – 
    3 Learners
    Sample Decks: 1.1 Regulatory framework - introduction, 1.2 The need for a regulatory framework, 1.3 Agency theory and the role of corporate governance
    Show Class
  • CEMAP 1
    CEMAP 1

    CEMAP 1

    By: A Z
    114 Cards – 
    10 Decks – 
    2 Learners
    Sample Decks: CEMAP 1 TOPIC 1- Introducing the financial services industry, CEMAP 1 Topic 2- Economic policy and financial regulation, CEMAP 1 Topic 3- UK Taxation Part 1
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  • IMC Unit 1
    IMC Unit 1

    IMC Unit 1

    By: Lili Brown
    28 Cards – 
    6 Decks – 
    1 Learner
    Sample Decks: 1 - Financial Markets and Intermediaries, 2 - Ethics and Investment Principles, 3 - Regulation of Financial Markets
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  • Regulation
    Regulation

    Regulation

    By: Ellie Ricou
    72 Cards – 
    8 Decks – 
    1 Learner
    Sample Decks: Insider Dealing, Market Abuse, The Retail Distribution Review
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