End of Chapter Questions 1 5 CISI Financial Regu

End of Chapter Questions 1-5 - CISI Financial Regulations Chpt 4 Q 16: When do the prospectus advertisements rules apply? (NOTE, not covered in the slides so don't worry too much) - Answer-The prospectus rules apply to offers, or admission to trading, of transferrable securities in respect of which: 1. A prospectus is required under S85 FSMA. 2. Where an election to produce a prospectus has been made under S87 FSMA. Chpt 4 Q 17: When is a firm permitted to undertake an unsolicited c...