C: Part 4a Permission

Descripción

CII - Level 4 Diploma (C5.1: Responsibilites & approach to regulation) R01 - Financial services, regulation, and ethics Mapa Mental sobre C: Part 4a Permission, creado por Mark Varela el 03/04/2014.
Mark Varela
Mapa Mental por Mark Varela, actualizado hace más de 1 año
Mark Varela
Creado por Mark Varela hace más de 10 años
78
0

Resumen del Recurso

C: Part 4a Permission

Nota:

  • - as set out in FSMA - apply to relevant regulator unless exempt
  1. PRA
    1. Institutions that accept deposits
      1. Institutions that accept insurance contracts
      2. FCA
        1. Smaller firms which typically advise on and sell investments and/or home finance and/or gen. insurance
        Mostrar resumen completo Ocultar resumen completo

        Similar

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