Profmary
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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 investment management company managing a 
...
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- Exam (elaborations)
- • 12 pages •
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FCA exam • By  profMary
FCA Sample Exam
When a shareholder delegates the right to vote at an AGM to another person, which of the 
following statements is TRUE? - They appoint a proxy 
Which of the following normally have voting rights attributed to them at the time of issue? - 
Ordinary shares 
A fund manager has decided to adopt a `core-satellite` approach to its investment strategy. The 
key characteristic of this strategy is that it combines: - active management with passive 
management 
The published spread of a unit trust price i...
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- • 7 pages •
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FCA exam • By  profMary
FCA Product Knowledge
Which navigation system is fully integrated into the Uconnect 5 system and eliminates the need 
to fumble with a phone? - TomTom 
Uconnect 5 media allows you to pair how many Bluetooth phones simultaneously? - 2 
What all-new Challenger-inspired feature is found on Durango? - 
aggressive exterior 
- new front fascia 
- grille 
- wheels 
- rear spoiler 
- LED headlamps and daytime running lamps
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- Exam (elaborations)
- • 3 pages •
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FCA exam • By  profMary
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? - Market 
abuse is based on civil bur...
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- Exam (elaborations)
- • 59 pages •
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FCA exam • By  profMary
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? - Market 
abuse is based on civil bur...
- Package deal
- Exam (elaborations)
- • 59 pages •
-
FCA exam • By  profMary
FCA Exam 4
what is the center of portion control? 
A) the inventory 
B) the cashier 
C) The server 
D) The menu - D) the menu 
If a portion served is slightly higher than standard, what will happen? 
A) Guest satisfaction will go down. 
B) Labor costs will decrease 
C) food quality will go down 
D) food costs will go up - D) food costs will go up 
A food-production cost-control training manual should contain?
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- Exam (elaborations)
- • 18 pages •
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FCA exam • By  profMary
CTEC 1391 Test Prep