Cisi regulations - Study guides, Class notes & Summaries
Looking for the best study guides, study notes and summaries about Cisi regulations? On this page you'll find 44 study documents about Cisi regulations.
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CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 343 pages • 2024
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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 Financial Regulations Exam With Complete Questions and Answers
- Exam (elaborations) • 24 pages • 2023 Popular
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CISI Financial Regulations Exam With Complete Questions and Answers...
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CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 373 pages • 2024
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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...
-
CISI Corporate Finance Regulations Exam Notes Complete
- Summary • 41 pages • 2023
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This document has everything that you need to know to pass your CISI Corporate Finance Regulations Exam, which a lot of bankers have to take at the start of their finance careers. 
 
It includes all the key regulatory rules as well as additional notes based on the questions that come up in the exam.
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Summary FCA CISI UK Derivatives
- Summary • 5 pages • 2023
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CISI UK Derivatives Study Notes for ALL chapters pocket sized for revision before your exam 
 
Guaranteed similar to questions from the exam
And that's how you make extra money
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2024 Study Notes CISI Securities Exam
- Summary • 6 pages • 2023
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Available in package deal
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CISI UK Securities Study Notes for ALL chapters pocket sized for revision before your exam *Guaranteed* similar to questions from the exam
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CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 441 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) • 441 pages • 2024
-
- $12.49
- + learn more
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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Summary CISI UK Financial Regulation
- Summary • 6 pages • 2023
-
Available in package deal
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- $16.81
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CISI UK Financial Regulation Study Notes for ALL chapters pocket sized for revision before your exam 
 
Guaranteed similar to questions from the exam
-
CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 29 pages • 2024
-
- $12.49
- + learn more
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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