912537
Description
Mind Map by Mark Varela, updated more than 1 year ago
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Created by Mark Varela
almost 11 years ago
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The FCA Handbook
- Block 1 - High Level Stds
Annotations:
- Apply to all firms & approved persons
- Block 2 - Prudential Stds
- Block 3 - Business Stds
- Block 4 - Regulatory Processes
Annotations:
- FCA's authorisation, supervisory & disciplinary functions
- Block 5 - Redress
- Block 6 - Specialist Sourcebooks
Annotations:
- For individual business sectors
- Block 7 - Listing, Prospectus & Disclosure
Annotations:
- UK Listing Authority rules
- Block 8 - Handbook Guides
Annotations:
- Basic overview of certain topics and points firms in direction of material in Handbook applicable to them
- Block 9 - Regulatory Guides
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