C: Part 4a Permission - created from Mind Map

Descrição

CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C5.1: Responsibilites & approach to regulation) Notas sobre C: Part 4a Permission - created from Mind Map, criado por Mark Varela em 03-04-2014.
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Notas por Mark Varela, atualizado more than 1 year ago Mais Menos
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Criado por Mark Varela aproximadamente 10 anos atrás
Mark Varela
Copiado para Nota por Mark Varela aproximadamente 10 anos atrás
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Resumo de Recurso

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PRA Institutions that accept deposits Institutions that accept insurance contracts

FCASmaller firms which typically advise on and sell investments and/or home finance and/or gen. insurance

- as set out in FSMA - apply to relevant regulator unless exempt

FCA's roles include:Direct authorisation & regulation of UK financial services system: authorising businesses prudential regulation - making sure they are financially sound regulating conduct of business Monitoring activities of various recognised bodies: investment exchanges, such as London Stock Exchange overseas investment exchanges, such as NASDAQ clearing houses, such as CREST designated professional bodies, such as the Law Society and Institute of Chartered Accountants in England & Wales Policing the financial services system: stopping firms & individuals carrying on unauthorised business preventing certain individuals from being employed in or becoming reps of authorised firms

Part 4a Permission

Annotations

Notes

Semelhante

C3: Enforcement in civil & criminal courts
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G: Laws of succession
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D: Other Regulators
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A2: Financial Services Act 2012
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D1A-D2: Compliance monitoring
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A: UK's Financial Services Regulatory Landscape
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D1: Regulatory supervisison & the risk-based approach
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B: FCA Objectives
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C2: FCA's Enforcement Division
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D: Law of agency
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B: Powers of attorney
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