Cisi regulatory exam Study guides, Revision notes & Summaries

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 – 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 – 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 – 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...

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.

Summary of CISI Level 3 UK Financial Regulation exam (Post-April 2023) Detailed notes from a multitude of materials. Follows official syllabus order. Includes answers to c.90& of possible MC questions. Topics covered include: 1) The Regulatory Environment, 2) The Financial Services and Markets Act 2000 and Financial Services Act 2012, 3) Associated Legislation and Regulation, 4) The FCA’s Conduct of Business and Client Assets Sourcebook and 5) Complaints and Redress.

Summary of CISI Level 3 Derivatives exam (Post-April 2023) Detailed notes from a multitude of materials. Follows official syllabus order. Includes answers to c.90& of possible MC questions. Topics covered include: 1) Introduction to Derivatives, 2) Underlying Markets, 3) Market Structure, 4) Principles of Exchange-Traded Derivatives, 5) Principles of OTC Derivatives, 6) Principles of Clearing, 7) Delivery and Settlement, 8) Trading, Hedging and Investment Strategies and 9) Regulatory Requ...

CISI Regulatory exam FSAP - Answer-Financial services action plan - creates and implements directives on an EU level. Aims to harmonise financial services rules across EU. Includes EU directives (to be implemented into national law) and EU regulations (binding on member states) FSAP directives - Answer-Market Abuse Directive Prospectus Directive MiFID Money Laundering Directive What must EU members do with FSAP directives - Answer-Directives must be implemented and transposed into na...

FSAP - Answer Financial services action plan - creates and implements directives on an EU level. Aims to harmonise financial services rules across EU. Includes EU directives (to be implemented into national law) and EU regulations (binding on member states) FSAP directives - Answer Market Abuse Directive Prospectus Directive MiFID Money Laundering Directive What must EU members do with FSAP directives - Answer Directives must be implemented and transposed into national law. Regula...