Cisi regulations exam Study guides, Class notes & Summaries
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![CISI Financial Regulations Exam With Complete Questions and Answers](/docpics/3816945/654f859d8434e_3816945_121_171.jpeg)
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CISI Financial Regulations Exam With Complete Questions and Answers
- Exam (elaborations) • 24 pages • 2023
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CISI Financial Regulations Exam With Complete Questions and Answers...
![CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]](/docpics/5347472/66487d2e9acfe_5347472_121_171.jpeg)
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CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 14 pages • 2024
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CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study 
Questions with COMPLETE SOLUTIONS (LATEST 2024] 
Where does the FCA get the power to perform their regulatory role? - CORRECT 
ANSWER FSMA 2000 
Who regulates Banks in the UK? - CORRECT ANSWER The Bank of England 
Who funds the FCA via contributions? - CORRECT ANSWER Firms authorised 
under the Financial Services and Markets Act 2000 
Who develops and executes the governments public finance and economic 
policy? - CORRECT ANSWER Her majesty'...
![CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]](/docpics/5347471/66487d2c08305_5347471_121_171.jpeg)
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CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 14 pages • 2024
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- $12.49
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CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study 
Questions with COMPLETE SOLUTIONS (LATEST 2024] 
Where does the FCA get the power to perform their regulatory role? - CORRECT 
ANSWER FSMA 2000 
Who regulates Banks in the UK? - CORRECT ANSWER The Bank of England 
Who funds the FCA via contributions? - CORRECT ANSWER Firms authorised 
under the Financial Services and Markets Act 2000 
Who develops and executes the governments public finance and economic 
policy? - CORRECT ANSWER Her majesty'...
![CISI Regulations Exam Latest Update](/docpics/3816802/654f7f138514e_3816802_121_171.jpeg)
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CISI Regulations Exam Latest Update
- Exam (elaborations) • 22 pages • 2023
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CISI Regulations Exam Latest Update...
CISI UK Financial Regulation 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/5347306/66487a866d8d7_5347306_121_171.jpeg)
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CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 441 pages • 2024
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- $12.49
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CISI Regulations Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
How many days do clients get to cancel an OEIC investment (when they receive a 
cancellation notice)? (Chapter 4) - CORRECT ANSWER 14 
How long should MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 5 years 
How long should non-MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 3 years 
How long should pension transfer cancellation records be kept? (Chapter 4) - 
COR...
![CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]](/docpics/5347305/66487a83b7f48_5347305_121_171.jpeg)
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CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 441 pages • 2024
-
- $12.49
- + learn more
CISI Regulations Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
How many days do clients get to cancel an OEIC investment (when they receive a 
cancellation notice)? (Chapter 4) - CORRECT ANSWER 14 
How long should MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 5 years 
How long should non-MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 3 years 
How long should pension transfer cancellation records be kept? (Chapter 4) - 
COR...
![CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]](/docpics/5347258/664879d0cf915_5347258_121_171.jpeg)
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CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 461 pages • 2024
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- $12.49
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CISI Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
How many times do FPC meet annually? - CORRECT ANSWER 4 
Until what date can EEA firms still passport to UK? - CORRECT ANSWER 31 
March 22 
How long can the regulator take to reach a decision over Part4A permission? - 
CORRECT ANSWER 6 months 
How many years of employment history is required under SMCR Fit and Proper 
Test? - CORRECT ANSWER 6 years 
Within how many months must those conducting activities for R...
![CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]](/docpics/5347484/66487d9750e3a_5347484_121_171.jpeg)
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CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 29 pages • 2024
-
- $12.49
- + learn more
CISI Regulations Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
How many days do clients get to cancel an OEIC investment (when they receive a 
cancellation notice)? (Chapter 4) - CORRECT ANSWER 14 
How long should MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 5 years 
How long should non-MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 3 years 
How long should pension transfer cancellation records be kept? (Chapter 4) - 
COR...
![CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]](/docpics/5347485/66487d99c37c5_5347485_121_171.jpeg)
-
CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
- Exam (elaborations) • 29 pages • 2024
-
- $12.49
- + learn more
CISI Regulations Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
How many days do clients get to cancel an OEIC investment (when they receive a 
cancellation notice)? (Chapter 4) - CORRECT ANSWER 14 
How long should MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 5 years 
How long should non-MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 3 years 
How long should pension transfer cancellation records be kept? (Chapter 4) - 
COR...
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