Cisi capital markets Study guides, Revision notes & Summaries

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

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

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

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...

Summary of CISI Level 3 Securities 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 Financial Services Industry, 2) Asset Classes, 3) Markets, 4) Primary Markets, 5) Secondary Markets, 6) Corporate Actions, 7) Clearing (Pre-Settlement) and Settlement, 8) Accounting Analysis and 9) Investment Management.

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.

The Regulatory Environment: UK Financial Regulations CISI When did the Financial Services and Markets Act (FMSA) come into effect? - Answer-Nov 30 2001 What did the FMSA establish? - Answer-The FSA to replace self-regulatory organisations (SROs) The Financial Ombudsman Service (FOS) The Financial Services Compensation Scheme (FSCS) The UK listing regime - UK listing authority (UKLA) Criminal penalties for market abuse What act amended the FMSA? - Answer-The Financial Services Act ...

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...