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Unit 1 Topic 17

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Who has prudential responsibility for deposit takers and insurers?

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Individuals who are allowed to carry out certain functions in relation to a firm’s regulated activities are often referred to as:

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A situation where individuals use information about a company that is not generally available to deal for their own financial advantage’ is a definition of:

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The Financial Conduct Authority’s single strategic objective is to:

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Which one of the following is NOT covered by the Financial Conduct Authority’s Principles for Business?

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The second key Principle of Business as defined by the regulator is that firms must act with skill, care and

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When did mortgages become regulated?

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Which one of the following contained within the FCA Handbook is binding on authorised firms?

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The FCA has powers under the Competition Act 1998 and the Enterprise Act 2002, meaning in respect of competition, it is a concurrent regulator with the:

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There are three main areas of financial crime that the FCA seeks to control. Which one of the following is the exception?

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In which sourcebook does the FCA Handbook cover standards for stockbrokers and financial market traders?

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Which one of the following is NOT one of the Financial Conduct Authority’s Principles for Business with which a firm must comply?

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Which one of the following BEST describes the reason why the Financial Services and Markets Act 2000 was introduced?

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Which of the following is NOT one of the Financial Conduct Authority’s Principles of Business with which a firm must comply?

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The FCA considers that responsibility for the fair treatment of consumers lies with which of the following?

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What was the main driver for the Financial Services and Markets Act 2000?

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One of the operational objectives of the Financial Conduct Authority is to:

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In which sourcebook does the FCA Handbook cover investor complaints and compensation?

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Which of the following is NOT one of the FCA’s operational objectives?

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Knowingly giving out false information to influence the price of shares for personal gain is known as:

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In seeking to promote competition, the FCA uses its power to ensure all of the following except which of the following:

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In relation to how a firm deals with its regulator, which one of the following is NOT defined within the Principles of Business? A firm must:

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