Fsma Study guides, Revision notes & Summaries

Summary: Strategic Marketing, second year of business management at Artevelde University, based on the lessons, the PowerPoints and personal notes. Summary is 100% complete, consists of 57 pages including theory and almost all examples

Samenvatting Digital Marketing, tweede jaar bedrijfsmanagement aan de Arteveldehogeschool, gebaseerd op de lessen, de PowerPoints en eigen notities.

Codes of Business Roles (COLP etc.) Money Laundering Introductions and Referrals Financial benefits

This document can be used for the PSC Finance and Business Skills exam at BPP Law School. The contents include notes on investment strategy (Bonds, Funds etc.), regulated activities (FSMA), money laundering regulations and COB rules.

QUESTION 1A – FSMA REGULATIONS No person may carry on a regulated activity in the UK unless authorised or exempt (s19 FSMA). Need to ensure that the firm is not committing a criminal offence by carrying out a regulated activity without authority pursuant to S 23 FSMA, so we need to consider the effect of FSMA. 1. Are you in Business? a. For an activity to be a regulated activity under FSMA, it must be “carried on by way of business”. As the firm is providing a service for the client,...

Consolidated notes from the PSC course at ULaw. Includes only what can come up in the exam. Notes have been restructured to optimise exam performance and are in table format /!/ /!/ Notes were written in April 2023 and thus may need to be supplemented/ amended to include any new legal developments /!/ /!/ No responsibility is taken for any spelling or grammatical errors /!/ /!/ Notes are based on materials produced by ULaw /!/ /!/

Complete exam guide for University of Law PSC Financial and Business skills. Provides a step by step structure for each questions and example questions. I received a distinction.

QUESTION 1 No person may carry on a regulated activity in the UK unless authorised or exempt (s19 FSMA). Need to ensure that the firm is not committing a criminal offence by carrying out a regulated activity without authority pursuant to S 23 FSMA, so we need to consider the effect of FSMA. 1. Are you in Business? a. For an activity to be a regulated activity under FSMA, it must be “carried on by way of business”. As the firm is providing a service for the client, it is in business for...

HACCP Exam Complete Q&A Updated: all correct. ___ identifies hazards and their control measures and provides a basis for determining CCPs [answer]- Hazard analysis ___ is responsible for enforcement of sanitation requirements on dairy farms FDA CFSAN State or local agencies FSIS ___ is used to distinguish between safe and unsafe operating conditions ritical limits ___ is used to prevent loss of control and should not be included in the HACCP plan [answer]- Operating limits A ...

Which of the following is TRUE for a regulated firm under Money Laundering rules and regulations? correct answers Staff must be trained to recognise and deal with suspicious transactions Under the Proceeds of Crime Act 2002, criminal property is defined as correct answers any benefit derived from criminal behaviour Under what legislative framework can certain consumer bodies alert the FCA to supercomplaints? correct answers Financial Services Act 2012 The FCA`s COBS rules apply to: corr...