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FCA Mock Exam Questions Which of the following does not have any rights under FSCS? - Authorized firm with respect to general insurance. - A retail client, trustee of scheme with assets and a small biz with regard to general insurance all have rights What best represents FCA view on industry guidance? - The FCA will not monitor or enforce compliance of INDUSTRY guidance b/c it is not mandatory Market abuse is different than insider dealing in all of the following ways except? - Ma...

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This document contains workings, explanations and solutions to the FIN3704 Assignment 5 (QUALITY ANSWERS) Semester 2 2024. For assistance whats-app us on 0.6.8..8.1.2..0.9.3.4.... Question 2 (20 Marks) The Port Saint John Water Park has thought about buying a new log flume ride. The equipment costs R900 000 to purchase, and installation costs an additional R56400. The equipment has a six-year expected life and will be depreciated using the MACRS seven-year class life. Management anticipates 16...

FCA Mock Exam Questions 160 Questions with 100% Correct Answers | Updated & Verified

A firm has just executed an order for a retail client. Within what period of time must the confirmation of trade be sent? A Immediately B Within one business day C Within five business days D Within seven calendar days - ️️B, as specified in COBS BUT any problems in execution must be communicated IMMEDIATELY A firm is approached by an authorised collective investment scheme (CIS) in relation to designated investment business. Which of the following best represents the conditions...

what are code staff - ️️staff in a control function what are individual conduct rules that apply to all firms and all staff within them under COCON block 1 of FCA handbook - ️️must act with integrity must act with due care, skill and diligence must be open and co-operative with FCA and other regulators must pay regard to interests of consumers and treat them fairly must observe proper standards of market conduct what are the renumeration policy limitations made under MiF...

Weighted Average Cost of Capital (WACC) for a firm is the: - ️️rate of return a firm must earn on its existing assets to maintain the current value of its stock The three C's of credit are: a) Character, capital and charity b) Character, capacity and charity c) Charity, capital and censor d) Character, capacity and capital e) Capital, capacity and conciliate - ️️d) Character, capacity and capital Character refers to the borrower's reputation. Capacity refers to the borrow...

FCA Mock Exam Questions 160 Questions with 100% Correct Answers | Updated & Verified Which of the following does not have any rights under FSCS? - Authorized firm with respect to general insurance. - A retail client, trustee of scheme with assets and a small biz with regard to general insurance all have rights What best represents FCA view on industry guidance? - The FCA will not monitor or enforce compliance of INDUSTRY guidance b/c it is not mandatory Market abuse is different than in...