Cisi uk - Study guides, Class notes & Summaries
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CISI UK Financial Regulation Test 2023
- Exam (elaborations) • 9 pages • 2023
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CISI UK Financial Regulation Test 2023...
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CISI: UK Financial Regulation questions with correct answers
- Exam (elaborations) • 10 pages • 2023
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UK Takeover Code 6 General Principles - Answer - All shareholders given equal treatment and protected 
- Shareholders given sufficient time and information to decide 
 - Board of target to act in best interests of company as a whole 
- False markets must not be created 
- Predator to make a bid only after ensuring they can meet cash requirements of bid 
- Target company not to be hindered in its business affairs for any longer than is necessary 
 
UK Takeover Code is Administered by.... - ...
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CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 68 pages • 2024
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CISI – Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
Criminal offence: General defences insider dealing - CORRECT ANSWER No 
advantage was expected. 
A belief that the information had been widely disclosed 
Would have dealt anyway 
Did not expect the recipient to deal 
Special defences : insider dealing - CORRECT ANSWER Stabilisation 
Market information 
Market makers in the ordinary course of business 
If a UK company offers an inducement to a foreign agent ...
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CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 373 pages • 2024
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CISI – Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
When the UK regulator allows a firm to undertake regulated activities, it grants 
which of the following? 
A Authorisation 
B Financial Services and Markets Act 2000 prohibition 
C Regulatory exemption 
D Part 4A Permission - CORRECT ANSWER D Part 4A Permission 
- Activities must be permitted by the Part 4A Permission (status would be 
permitted with authorization) 
According to the UK Prospectus Rules (P...
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CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 373 pages • 2024
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- $14.49
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CISI – Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
When the UK regulator allows a firm to undertake regulated activities, it grants 
which of the following? 
A Authorisation 
B Financial Services and Markets Act 2000 prohibition 
C Regulatory exemption 
D Part 4A Permission - CORRECT ANSWER D Part 4A Permission 
- Activities must be permitted by the Part 4A Permission (status would be 
permitted with authorization) 
According to the UK Prospectus Rules (P...
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CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 373 pages • 2024
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- $13.49
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CISI – Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
When the UK regulator allows a firm to undertake regulated activities, it grants 
which of the following? 
A Authorisation 
B Financial Services and Markets Act 2000 prohibition 
C Regulatory exemption 
D Part 4A Permission - CORRECT ANSWER D Part 4A Permission 
- Activities must be permitted by the Part 4A Permission (status would be 
permitted with authorization) 
According to the UK Prospectus Rules (P...
-
CISI Unit 1 - UK Regulation questions with correct answers
- Exam (elaborations) • 6 pages • 2023
- Available in package deal
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CISI Unit 1 - UK Regulation questions with correct answers
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CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 461 pages • 2024
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CISI Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
How many times do FPC meet annually? - CORRECT ANSWER 4 
Until what date can EEA firms still passport to UK? - CORRECT ANSWER 31 
March 22 
How long can the regulator take to reach a decision over Part4A permission? - 
CORRECT ANSWER 6 months 
How many years of employment history is required under SMCR Fit and Proper 
Test? - CORRECT ANSWER 6 years 
Within how many months must those conducting activities for R...
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CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 14 pages • 2024
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CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study 
Questions with COMPLETE SOLUTIONS (LATEST 2024] 
Where does the FCA get the power to perform their regulatory role? - CORRECT 
ANSWER FSMA 2000 
Who regulates Banks in the UK? - CORRECT ANSWER The Bank of England 
Who funds the FCA via contributions? - CORRECT ANSWER Firms authorised 
under the Financial Services and Markets Act 2000 
Who develops and executes the governments public finance and economic 
policy? - CORRECT ANSWER Her majesty'...
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CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 14 pages • 2024
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- $12.49
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CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study 
Questions with COMPLETE SOLUTIONS (LATEST 2024] 
Where does the FCA get the power to perform their regulatory role? - CORRECT 
ANSWER FSMA 2000 
Who regulates Banks in the UK? - CORRECT ANSWER The Bank of England 
Who funds the FCA via contributions? - CORRECT ANSWER Firms authorised 
under the Financial Services and Markets Act 2000 
Who develops and executes the governments public finance and economic 
policy? - CORRECT ANSWER Her majesty'...
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