Cisi regulations Study guides, Revision notes & Summaries

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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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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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 Regulations questions with correct answers

CISI Regulations questions with correct answers

CISI UK Securities Study Notes for ALL chapters pocket sized for revision before your exam *Guaranteed* similar to questions from the exam