Cisi uk financial - Study guides, Class notes & Summaries
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CISI: UK Financial Regulation
- Exam (elaborations) • 5 pages • 2024
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CISI: UK Financial Regulation 
 
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...
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CISI Exam Sample Paper | Questions with 100% Correct Answers | Updated & Verified
- Exam (elaborations) • 14 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 co...
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CISI Unit 1 - UK Regulation
- Exam (elaborations) • 3 pages • 2024
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CISI Unit 1 - UK Regulation 
 
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 ad...
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CISI - UK Financial regs
- Exam (elaborations) • 13 pages • 2024
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Competition and Markets Authority (CMA) -
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UK Financial Regulation, Securities & Derivatives (CISI Level 3) - Investment Operations Certificate (IOC)
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Summary of CISI Level 3 UK Financial Regulation, Securities and Derivatives 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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