Cisi latest exam 2024 - Study guides, Class notes & Summaries
Looking for the best study guides, study notes and summaries about Cisi latest exam 2024? On this page you'll find 27 study documents about Cisi latest exam 2024.
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CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 29 pages • 2024
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CISI Regulations Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
How many days do clients get to cancel an OEIC investment (when they receive a 
cancellation notice)? (Chapter 4) - CORRECT ANSWER 14 
How long should MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 5 years 
How long should non-MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 3 years 
How long should pension transfer cancellation records be kept? (Chapter 4) - 
COR...
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CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 29 pages • 2024
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- $12.49
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CISI Regulations Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
How many days do clients get to cancel an OEIC investment (when they receive a 
cancellation notice)? (Chapter 4) - CORRECT ANSWER 14 
How long should MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 5 years 
How long should non-MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 3 years 
How long should pension transfer cancellation records be kept? (Chapter 4) - 
COR...
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CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 42 pages • 2024
-
- $13.49
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CISI Regulations Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
How many days do clients get to cancel an OEIC investment (when they receive a 
cancellation notice)? (Chapter 4) - CORRECT ANSWER 14 
How long should MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 5 years 
How long should non-MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 3 years 
How long should pension transfer cancellation records be kept? (Chapter 4) - 
COR...
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CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 14 pages • 2024
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- $12.49
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CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study 
Questions with COMPLETE SOLUTIONS (LATEST 2024] 
Where does the FCA get the power to perform their regulatory role? - CORRECT 
ANSWER FSMA 2000 
Who regulates Banks in the UK? - CORRECT ANSWER The Bank of England 
Who funds the FCA via contributions? - CORRECT ANSWER Firms authorised 
under the Financial Services and Markets Act 2000 
Who develops and executes the governments public finance and economic 
policy? - CORRECT ANSWER Her majesty'...
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CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 14 pages • 2024
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- $12.49
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CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study 
Questions with COMPLETE SOLUTIONS (LATEST 2024] 
Where does the FCA get the power to perform their regulatory role? - CORRECT 
ANSWER FSMA 2000 
Who regulates Banks in the UK? - CORRECT ANSWER The Bank of England 
Who funds the FCA via contributions? - CORRECT ANSWER Firms authorised 
under the Financial Services and Markets Act 2000 
Who develops and executes the governments public finance and economic 
policy? - CORRECT ANSWER Her majesty'...
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CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 20 pages • 2024
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- $12.49
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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) • 373 pages • 2024
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- $14.49
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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) • 373 pages • 2024
-
- $13.49
- + learn more
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...
-
CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 373 pages • 2024
-
- $14.49
- + learn more
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...
-
CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 413 pages • 2024
-
- $12.49
- + learn more
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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