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C: Part 4a Permission

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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
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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
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