Mifid Samenvattingen, Aantekeningen en Examens
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Financieel recht samenvatting p2 bazel + mifid + febelfin --> 16,5/20 mee behaald
- Samenvatting • 26 pagina's • 2022
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Financieel recht samenvatting p2 bazel + mifid + febelfin
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CISI Regulations questions with correct answers
- Tentamen (uitwerkingen) • 26 pagina's • 2023
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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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FCA UK Regulation Sample Exam
- Tentamen (uitwerkingen) • 12 pagina's • 2024
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FCA UK Regulation Sample Exam 
 
Which of the following is TRUE for a regulated firm under Money Laundering rules and 
regulations? - Staff must be trained to recognise and deal with suspicious transactions 
 
Under the Proceeds of Crime Act 2002, criminal property is defined as - any benefit derived 
from criminal behaviour 
 
Under what legislative framework can certain consumer bodies alert the FCA to 
supercomplaints? - Financial Services Act 2012 
 
The FCA`s COBS rules apply to: - a UK inv...
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UK Financial Regulation Practice Questions | 175 Questions with 100% Correct Answers | Updated & Verified
- Tentamen (uitwerkingen) • 32 pagina's • 2023
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- €11,19
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Which ONE of the following BEST describes the FCA's Principle for Businesses of market conduct? - A 
firm must observe appropriate standards of behavior/conduct. 
Which ONE of the following is a strategic objective imposed on the FCA by Financial Services Act 2012? - 
Ensure that relevant markets function well. 
Which ONE of the FCA's Principles for Business specifically requires firms to ensure the suitability of 
their advice? - Customers: relationships of trust. 
The relationships of trust ...
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FCA UK Regulation Sample Exam
- Tentamen (uitwerkingen) • 12 pagina's • 2024
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FCA UK Regulation Sample Exam 
 
Which of the following is TRUE for a regulated firm under Money Laundering rules and 
regulations? - Staff must be trained to recognise and deal with suspicious transactions 
 
Under the Proceeds of Crime Act 2002, criminal property is defined as - any benefit derived 
from criminal behaviour 
 
Under what legislative framework can certain consumer bodies alert the FCA to 
supercomplaints? - Financial Services Act 2012 
 
The FCA`s COBS rules apply to: - a UK inv...
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FCA UK Regulation Sample Exam 75 Questions with 100% Correct Answers | Updated & Verified
- Tentamen (uitwerkingen) • 8 pagina's • 2023
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Which of the following is TRUE for a regulated firm under Money Laundering rules and regulations? - 
Staff must be trained to recognise and deal with suspicious transactions 
Under the Proceeds of Crime Act 2002, criminal property is defined as - any benefit derived from 
criminal behaviour 
Under what legislative framework can certain consumer bodies alert the FCA to supercomplaints? - 
Financial Services Act 2012 
The FCA`s COBS rules apply to: - a UK investment management company managing a p...
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FCA Mock Exam Questions
- Tentamen (uitwerkingen) • 59 pagina's • 2024
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FCA Mock Exam Questions 
 
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? - Ma...
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FCA UK Regulation Sample Exam | 75 Questions with 100% Correct Answers | Verified
- Tentamen (uitwerkingen) • 12 pagina's • 2023
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Which of the following is TRUE for a regulated firm under Money Laundering rules and 
regulations? - Staff must be trained to recognise and deal with suspicious transactions 
Under the Proceeds of Crime Act 2002, criminal property is defined as - any benefit derived 
from criminal behaviour 
Under what legislative framework can certain consumer bodies alert the FCA to 
supercomplaints? - Financial Services Act 2012 
The FCA`s COBS rules apply to: - a UK investment management company managing a 
...
-
FCA UK Regulation Sample Exam 75 Questions with 100% Correct Answers | Updated & Verified
- Tentamen (uitwerkingen) • 8 pagina's • 2023
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Ook in voordeelbundel
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- €9,95
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Which of the following is TRUE for a regulated firm under Money Laundering rules and regulations? - 
Staff must be trained to recognise and deal with suspicious transactions 
Under the Proceeds of Crime Act 2002, criminal property is defined as - any benefit derived from 
criminal behaviour 
Under what legislative framework can certain consumer bodies alert the FCA to supercomplaints? - 
Financial Services Act 2012 
The FCA`s COBS rules apply to: - a UK investment management company managing a p...
-
FCA UK Regulation Sample Exam Questions And Answers (Updated And Verified)
- Tentamen (uitwerkingen) • 6 pagina's • 2024
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- €9,95
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FCA UK Regulation Sample Exam Questions 
And Answers (Updated And Verified) 
Which of the following is TRUE for a regulated firm under Money Laundering rules and 
regulations? - answerStaff must be trained to recognise and deal with suspicious transactions 
Under the Proceeds of Crime Act 2002, criminal property is defined as - answerany benefit 
derived from criminal behaviour 
Under what legislative framework can certain consumer bodies alert the FCA to 
supercomplaints? - answerFinancial Serv...
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