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QFA Regulations chpt 1 Exam Questions And Answers $8.39   Add to cart

Exam (elaborations)

QFA Regulations chpt 1 Exam Questions And Answers

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  • QFA
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  • QFA

What are the two objectives of Central Bank's regulation - ANS A stable financial system and consumer protection The Authorisation of financial services firms falls under which type of regulation - ANS Structural Regulation A foreign bank providing financial services in Irelan...

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  • November 4, 2024
  • 2
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers
  • QFA
  • QFA
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DocLaura
QFA Regulations chpt 1 Exam Questions
And Answers


What are the two objectives of Central Bank's regulation - ANS A stable financial system
and consumer protection

The Authorisation of financial services firms falls under which type of regulation - ANS
Structural Regulation

A foreign bank providing financial services in Ireland is an example of? - ANS Passporting

Which type of regulation seeks to limit the risks to the overall financial system - ANS
Systemic Regulation

Which type of regulation aims to ensure the continuing solvency, liquidity and ability of financial
services firms to meet financial obligations to their customers? - ANS Prudential Regulation

Prudential regulation is the responsibility of a firm's? - ANS Home member state

Conduct of business rules in a member state are the responsibility of? - ANS Host state

The local conduct of business and marketing rules which a financial services firm must comply
with when dealing with consumers in that state are sometimes referred to as? - ANS
Common-good requirements

Central Bank's regulatory funding comes from? - ANS Levies paid by financial institutions
regulated by central bank

The lavy payable is related to a firms? - ANS Size, importance and risk profile or impact
category.

What is a Prescribed Contravention? - ANS When a firm has failed to comply with
regulatory legislation

Having been found to have committed a prescribed contravention who can the decision of the
central bank be appealed to? - ANS Financial Services Tribunal

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