Define cobs - Study guides, Revision notes & Summaries

Define the FCA Principles for Business (PRIN) - ️️A general statement of the fundamental obligations of all authorised firms under the regulatory system How can firms pay fees in installments? - ️️Via Premium Credit Ltd How is the FCA funded? - ️️By levies on firms which are placed in different fee blocks based on their activities and risks How long can an individual cover for a senior manager in an emergency? - ️️12 weeks How long should firm's keep a record of benefits for...

FRSC-COIS2750- Final Exam Questions and answer, rated A+ 1. follow proper processes 2. using proper methodologies 3. using proper procedures these 3 things are for? - -proper digital forensic investigations all user profiles contain which folders? - -user$USER$documents because google chrome syncs data across multiple platforms, what may happen to artifacts? - - generate from other devices closed encryption containers may sometimes... - -be recovered from RAM cookies are what ...

CISI UK financial regulations (certs) Chapter 4 Define COBS - Answer-Conduct of business soucrbook (COBS), are set of rules which investment firms should follow that are subject to MiFID and those that are not What firms are subject to COBS - Answer-Firms that operate in the UK, or have an appointment representative who are domiciled in the UK. Also applied to firms that deals with UK based clients What firms are exempt from COBS - Answer-Investment research and personal account dealing...