Cisi regulations exam - Study guides, Class notes & Summaries
Looking for the best study guides, study notes and summaries about Cisi regulations exam? On this page you'll find 27 study documents about Cisi regulations exam.
All 27 results
Sort by
-
CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 343 pages • 2024
-
- $12.49
- 1x sold
- + 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 Financial Regulations Exam With Complete Questions and Answers
- Exam (elaborations) • 24 pages • 2023 Popular
- Available in package deal
-
- $10.49
- 1x sold
- + learn more
CISI Financial Regulations Exam With Complete Questions and Answers...
-
CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 373 pages • 2024
-
- $14.49
- 1x sold
- + 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 Corporate Finance Regulations Exam Notes Complete
- Summary • 41 pages • 2023
-
- $23.56
- 3x sold
- + learn more
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.
-
CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 14 pages • 2024
-
- $12.49
- + learn more
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'...
Too much month left at the end of the money?
-
CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 14 pages • 2024
-
- $12.49
- + learn more
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'...
-
CISI Regulations Exam Latest Update
- Exam (elaborations) • 22 pages • 2023
- Available in package deal
-
- $10.49
- + learn more
CISI Regulations Exam Latest Update...
-
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...
-
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...
-
CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 461 pages • 2024
-
- $12.49
- + learn more
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...
$6.50 for your textbook summary multiplied by 100 fellow students... Do the math: that's a lot of money! Don't be a thief of your own wallet and start uploading yours now. Discover all about earning on Stuvia