Cisi uk financial - Study guides, Class notes & Summaries

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...

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...

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...

Competition and Markets Authority (CMA) -