Cisi uk financial - Study guides, Class notes & Summaries
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CISI UK FINANCIAL REGULATION
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CISI UK FinancialRegulations Study
Notes for all chapters guaranteed similiar to questions from the exam
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CISI Exam Sample Paper | Questions with 100% Correct Answers | Updated & Verified
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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 co...
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CISI Exam Sample Paper | Questions with 100% Correct Answers | Updated & Verified
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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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CISI,, UK FINANCIAL REGULATION
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CISI,, UK FINANCIAL REGULATION 
 
1.	UK Takeover Code 6 General Principles: - All shareholders given equal treat- ment 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
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CISI UK financial regulations (certs) Chapter 4 Questions With Correct Answers
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CISI UK financial regulations (certs) Chapter 4 
 
Define COBS - Answer-Conduct of business soucrbook (COBS), are set of rules which investment firms should follow that are subject to MiFID and those that are not 
 
What firms are subject to COBS - Answer-Firms that operate in the UK, or have an appointment representative who are domiciled in the UK. Also applied to firms that deals with UK based clients 
 
What firms are exempt from COBS - Answer-Investment research and personal account dealing...
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UK Financial Regulation & Securities (CISI Level 3) - Capital Markets Programme
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Summary of CISI Level 3 UK Financial Regulation and Securities exams (Post-April 2023).

Detailed notes from a multitude of materials. Follows official syllabus order. Includes answers to c.90& of possible MC questions. 

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CISI UK Financial Regulation
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CISI UK Financial Regulation 
 
AML - Answer-Anti-Money Laundering 
 
BIPRU - Answer-Prudential sourcebook for banks, building societies and investment firms 
 
CASS - Answer-Client assets 
 
CFT - Answer-Combatting the financing of terrorism 
 
COBS - Answer-Conduct of Business Sourcebook 
 
COCON - Answer-Code of conduct for staff sourcebook 
 
COLL - Answer-Collective investment schemes 
 
COMP - Answer-compensation 
 
COND - Answer-Threshold conditions 
 
DEPP - Answer-Decision procedure and...
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CISI Financial Regulations Questions and Answers
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CISI Financial Regulations 
 
A firm engaging in a transaction triggered the COBS requirement to display proof of appropriateness for the transaction because the client: - Answer-Engaged in execution only trades 
 
Appropriateness is for non-advised trades and protects both professional and retail clients. The most likely factor to trigger the requirement to assess appropriateness is the execution only service, specifically when relating to a complex product. 
 
Examples of client money - Answer...
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CISI Regulatory exam with correct answers
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CISI Regulatory exam 
 
FSAP - Answer-Financial services action plan - creates and implements directives on an EU level. Aims to harmonise financial services rules across EU. Includes EU directives (to be implemented into national law) and EU regulations (binding on member states) 
 
FSAP directives - Answer-Market Abuse Directive 
Prospectus Directive 
MiFID 
Money Laundering Directive 
 
What must EU members do with FSAP directives - Answer-Directives must be implemented and transposed into na...
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The Regulatory Environment: UK Financial Regulations CISI
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The Regulatory Environment: UK Financial Regulations CISI 
 
When did the Financial Services and Markets Act (FMSA) come into effect? - Answer-Nov 30 2001 
 
What did the FMSA establish? - Answer-The FSA to replace self-regulatory organisations (SROs) 
The Financial Ombudsman Service (FOS) 
The Financial Services Compensation Scheme (FSCS) 
The UK listing regime - UK listing authority (UKLA) 
 
Criminal penalties for market abuse 
 
What act amended the FMSA? - Answer-The Financial Services Act ...
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