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959760
A4: Applications (Part 4a permission)
Description
CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C6: Principles & rules set out in reg. framework) Mind Map on A4: Applications (Part 4a permission), created by Mark Varela on 01/06/2014.
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r01 - financial services, regulation, and ethics
c6: principles & rules set out in reg. framework
cii - level 4 diploma
Mind Map by
Mark Varela
, updated more than 1 year ago
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Created by
Mark Varela
over 10 years ago
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Resource summary
A4: Applications (Part 4a permission)
Annotations:
A firm must complete the correct type of application
Retail intermediary
financial adviser
home finance intermediary
insurance intermediary
connected travel ins. intermediary
Wholesale invstmnt firm
securities & futures firm
wholesale funds adviser/arranger
invtmnt mgmnt firm
Insurance firms
Insurance special purpose vehicles
Lloyd's managing agents
Insurers
Annotations:
New insurers must apply to PRA for authorisation
Providers/deposit takers
banks
mutuals
home finance provider
personal pension scheme provider
credit union
payment institution e-money issuer
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