Mifid Samenvattingen, Aantekeningen en Examens

UK Financial Regulation Practice Questions | 175 Questions with 100% Correct Answers | Updated & Verified 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 ens...

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...

In deze samenvatting zijn alle weken van de cursus kapitaalmarktrecht (-M-6) verwerkt, waarbij ook de gastcolleges van de AFM zijn opgenomen en het gastcollege van dhr. Nelemans.

Financieel recht samenvatting p2 bazel + mifid + febelfin

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...

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...

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...

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 ...

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 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...