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C: Part 4a Permission

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CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C5.1: Responsibilites & approach to regulation) Mapa Mental sobre C: Part 4a Permission, criado por Mark Varela em 03-04-2014.
Mark Varela
Mapa Mental por Mark Varela, atualizado more than 1 year ago
Mark Varela
Criado por Mark Varela mais de 10 anos atrás
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Resumo de Recurso

C: Part 4a Permission

Anotações:

  • - 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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