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Exam (elaborations)
FCA Mock Exam Questions
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Which of the following does not have any rights under FSCS? - Authorized firm with respect to general insurance. - A retail client, trustee of scheme with assets and a small biz with regard to general insurance all have rights What best represents FCA view on industry guidance? - The FCA will not monitor or enforce compliance of INDUSTRY guidance b/c it is not mandatory Market abuse is different than insider dealing in all of the following ways except? - Market abuse is based on civil burden-balance of probabilities; it should be easier for the FCA to demonstrate abusive behavier; and it can be applied to commodity derivatives. It is not true that it should be easier for the FCA to impose a custodial sentence as only FINES can be imposed
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