Cisi regulations exam - Study guides, Class notes & Summaries

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...

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] 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] 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] 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 ...

CISI UK Regulations Exam Latest Update...

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...