Cisi uk - Study guides, Class notes & Summaries
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CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 413 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) • 413 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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UK Financial Regulation (CISI Level 3) - Capital Markets Programme / IOC
- Summary • 50 pages • 2024
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Summary of CISI Level 3 UK Financial Regulation exam (Post-April 2023) 
 
Detailed notes from a multitude of materials. Follows official syllabus order. Includes answers to c.90& of possible MC questions. 
 
Topics covered include: 1) The Regulatory Environment, 2) The Financial Services and Markets Act 2000 and Financial Services Act 2012, 3) Associated Legislation and Regulation, 4) The FCA’s Conduct of Business and Client Assets Sourcebook and 5) Complaints and Redress.
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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) • 20 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 Unit 1 - UK Regulation questions with correct answers
- Exam (elaborations) • 6 pages • 2023
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Who does the FCA report too? - Answer HMT 
 
Who does the PRA report too? - Answer The BOE 
 
Who did the PRA and FCA replace? - Answer The FSA, as of the FSA2012 
 
FCA's Strategic Objective - Answer Make sure relevant markets function well 
 
FCA's Operational Objectives - Answer Appropriate protection, integrity of financial system, effective competition 
 
PRA Objectives - Answer Promote safety and soundness of financial system, avoid instability, minimize adverse effect of fai...
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The Regulatory Environment: UK Financial Regulations CISI questions with correct answers
- Exam (elaborations) • 19 pages • 2023
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The Regulatory Environment: UK Financial Regulations CISI questions with correct answers
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CISI: UK Financial Regulation questions with correct answers
- Exam (elaborations) • 10 pages • 2023
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CISI: UK Financial Regulation questions with correct answers
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CISI Exam Sample Paper | Questions with 100% Correct Answers | Updated & Verified
- Exam (elaborations) • 13 pages • 2023
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CISI Exam Sample Paper | Questions with 100% 
Correct Answers | Updated & Verified 
Why does the FCA publish thematic reviews? 
A to assess whether a new rule is delivering its intended aim 
B when they have identified issues they wish the industry to take note of 
C in order to provide an update on what the FCA has delivered 
D to explain their future role and priorities - A to assess whether a new rule is delivering its 
intended aim 
In granting authorisation to a firm under its threshold con...
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UK REGULATION and PROFESSIONAL INTERGRITY RATED A.
- Exam (elaborations) • 34 pages • 2024
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UK REGULATION and PROFESSIONAL INTERGRITY RATED A.
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