Cisi regulations Study guides, Revision notes & Summaries

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...

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 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...

How many days do clients get to cancel an OEIC investment (when they receive a cancellation notice)? (Chapter 4) - Answer 14 How long should MiFID client confirmation copies be kept? (Chapter 4) - Answer 5 years How long should non-MiFID client confirmation copies be kept? (Chapter 4) - Answer 3 years How long should pension transfer cancellation records be kept? (Chapter 4) - Answer Indefinitely How frequently should valuation statements be provided to retail clients? (Chapt...

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How many times do FPC meet annually? - Answer 4 Until what date can EEA firms still passport to UK? - Answer 31 March 22 How long can the regulator take to reach a decision over Part4A permission? - Answer 6 months How many years of employment history is required under SMCR Fit and Proper Test? - Answer 6 years Within how many months must those conducting activities for RCs demonstrate exam success? - Answer 30 months How many hours of CPD must those conducting activitie...

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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