Cisi regulations Study guides, Class notes & Summaries
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![CISI Regulations questions with correct answers](/docpics/3802875/654cf9a4a9d85_3802875_121_171.jpeg)
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CISI Regulations questions with correct answers
- Exam (elaborations) • 18 pages • 2023
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CISI Regulations questions with correct answers
![2024 Study Notes CISI Securities Exam](/docpics/3032846/64a92f39c8fc2_3032846_121_171.jpeg)
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2024 Study Notes CISI Securities Exam
- Summary • 6 pages • 2023
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CISI UK Securities Study Notes for ALL chapters pocket sized for revision before your exam *Guaranteed* similar to questions from the exam
![Summary FCA CISI UK Derivatives](/docpics/3522608/651603d728767_3522608_121_171.jpeg)
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Summary FCA CISI UK Derivatives
- Summary • 5 pages • 2023
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CISI UK Derivatives Study Notes for ALL chapters pocket sized for revision before your exam 
 
Guaranteed similar to questions from the exam
![CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]](/docpics/5347347/66487b50b6f78_5347347_121_171.jpeg)
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CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 68 pages • 2024
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CISI – Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
Criminal offence: General defences insider dealing - CORRECT ANSWER No 
advantage was expected. 
A belief that the information had been widely disclosed 
Would have dealt anyway 
Did not expect the recipient to deal 
Special defences : insider dealing - CORRECT ANSWER Stabilisation 
Market information 
Market makers in the ordinary course of business 
If a UK company offers an inducement to a foreign agent ...
![CISI Financial Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]](/docpics/5347422/66487c3aade32_5347422_121_171.jpeg)
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CISI Financial Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 30 pages • 2024
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CISI Financial Regulations Final Exam Study 
Questions with COMPLETE SOLUTIONS (LATEST 
2024] 
A firm engaging in a transaction triggered the COBS requirement to display proof 
of appropriateness for the transaction because the client: - CORRECT ANSWER 
Engaged in execution only trades 
Appropriateness is for non-advised trades and protects both professional and 
retail clients. The most likely factor to trigger the requirement to assess 
appropriateness is the execution only service, speci...
![CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]](/docpics/5347436/66487cb5e0166_5347436_121_171.jpeg)
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CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 343 pages • 2024
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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]](/docpics/5347404/66487c37e60ca_5347404_121_171.jpeg)
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CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 373 pages • 2024
-
- $13.49
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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]](/docpics/5570259/6662dccfc63fc_5570259_121_171.jpeg)
-
CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 373 pages • 2024
-
- $14.49
- + learn more
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]](/docpics/5570261/6662dcd551d26_5570261_121_171.jpeg)
-
CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 373 pages • 2024
-
- $14.49
- + learn more
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]](/docpics/5570260/6662dcd286fcc_5570260_121_171.jpeg)
-
CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 373 pages • 2024
-
- $14.49
- + learn more
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...
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