Cisi uk regulations - 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] 
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]
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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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The Regulatory Environment: UK Financial Regulations CISI questions with correct answers
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The Regulatory Environment: UK Financial Regulations CISI questions with correct answers
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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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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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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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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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CISI PACKAGED EXAMS LATEST UPDATE
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CISI PACKAGED EXAMS LATEST UPDATE...
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