Cisi uk regulations - Study guides, Class notes & Summaries
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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 – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 373 pages • 2024 Popular
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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 UK REGULATIONS 100% Verified Complete Guide.
- Exam (elaborations) • 32 pages • 2024
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CISI UK REGULATIONS 100% Verified Complete Guide.
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CISI UK Regulations Exam Latest Update
- Exam (elaborations) • 23 pages • 2023
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CISI UK Regulations Exam Latest Update...
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CISI UK REGULATIONS (Unit 1) Questions and Answers.
- Exam (elaborations) • 8 pages • 2024
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CISI UK REGULATIONS (Unit 1) Questions 
and Answers.
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CISI Unit 1 - UK Regulation Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 6 pages • 2024
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CISI Unit 1 - UK Regulation Final Exam Study 
Questions with COMPLETE SOLUTIONS 
(LATEST 2024] 
Who does the FCA report too? - CORRECT ANSWER HMT 
Who does the PRA report too? - CORRECT ANSWER The BOE 
Who did the PRA and FCA replace? - CORRECT ANSWER The FSA, as of the 
FSA2012 
FCA's Strategic Objective - CORRECT ANSWER Make sure relevant markets 
function well 
FCA's Operational Objectives - CORRECT ANSWER Appropriate protection, 
integrity of financial system, effective competition 
P...
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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 
 
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2024 Study Notes CISI Securities Exam
- Summary • 6 pages • 2023
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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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Summary CISI UK Financial Regulation
- Summary • 6 pages • 2023
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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
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CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 68 pages • 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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