Cisi uk regulations 2024 - Study guides, Class notes & Summaries
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CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 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) • 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 – 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 UK REGULATIONS 100% Verified Complete Guide.
- Exam (elaborations) • 32 pages • 2024
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CISI UK REGULATIONS 100% Verified Complete Guide.
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CISI UK REGULATIONS (Unit 1) Questions and Answers.
- Exam (elaborations) • 8 pages • 2024
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CISI UK REGULATIONS (Unit 1) Questions 
and Answers.
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