câu hỏi  |
câu trả lời |
Training and Competence Sourcebook. It sets out the... bắt đầu học
|
|
the FCA’s requirements in connection to all staff It includes rules relating to training and competence, and specifies which qualifications are required for certain activities.
|
|
|
FCA Handbook and the PRA Rule Book deal with...? bắt đầu học
|
|
with senior management arrangements. and systems and controls (SYSC).
|
|
|
Assessment. TC Sourcebook requires that firms do not deem an employee competent to carry on any of a specified range of activities until... 2 | The Requirements for Retail Firms. bắt đầu học
|
|
that employee has demonstrated the necessary competence to do so | and has passed each module of an appropriate examination.
|
|
|
The Requirements for Retail Firms: 3 bắt đầu học
|
|
Assessment, | Supervision, | Supervisors.
|
|
|
Supervision. The Sourcebook states that the FCA expects that the level and intensity of that supervision will be significantly greater in the period ...? The Requirements for Retail Firms. bắt đầu học
|
|
before a firm has assessed its employee as competent, than after. Employees are appropriately supervised at all times.
|
|
|
Supervisors. the Sourcebook states that firms should consider whether it is appropriate to require... The Requirements for Retail Firms. bắt đầu học
|
|
to pass an appropriate examination, if the staff that they supervise have not themselves yet been assessed as competent.
|
|
|
TC Sourcebook states that firms must not allow their employees to undertake any of the following advising activities unless they have passed each module of an appropriate qualification: 4 bắt đầu học
|
|
Dealing, | Broker fund, | Lloyd’s, | Pension transfer. DBLP
|
|
|
TC Sourcebook. Under the TC Sourcebook, for which activity does the requirement to have passed each module of an appropriate qualification apply? apart from: Broker fund, | Lloyd’s, | Pension transfer bắt đầu học
|
|
Advising retail clients on investments which are packaged products.
|
|
|
Exemptions from the TC Sourcebook exams. The conditions are that the firm must be satisfied that the employee has at least three years relevant experience, which... TC Sourcebook bắt đầu học
|
|
which they gained while employed outside the UK
|
|
|
Activities to which the TC Rules Apply: 3 bắt đầu học
|
|
Designated investment business carried out for a retail client*. | Regulated mortgage activity. | Non-investment insurance business. ADMO *Advising, | Dealing, | Managing, | Overseeing on a day-to-day basis.
|
|
|
SPSs confirm that an adviser has Completed a Qualification and Credit Framework (QCF) Level __ qualification, SPSs Statements of Professional Standing bắt đầu học
|
|
also: Adhere to a code of ethics, | Acted in accordance with the FCA’s APER/SM&CR (new replacement) requirements | Completed of 35 hours of continuing professional development (CPD)
|
|
|
Under the Adviser Charging rules, individuals wishing to operate as a retail investment adviser must be in possession of a valid ___? 2cz bắt đầu học
|
|
SPS | from an FCA-accredited body such as the CISI Statements of Professional Standing
|
|
|
SPSs confirm that an adviser has: Completed an annual programme of __ hours of continuing professional development (CPD) Statements of Professional Standing bắt đầu học
|
|
with at least 21 hours of this being structured learning. also: Adhere to a code of ethics, | Acted in accordance with the FCA’s APER requirements, | Completed Level 4 qualification.
|
|
|
SPSs The qualification requirements apply to individuals carrying out one or more of the following regulated activities, advising on: 3 Statements of Professional Standing bắt đầu học
|
|
Derivatives, | Packaged products | Friendly society. and any securities which are not stakeholder pension schemes or broker funds.
|
|
|
The SPS will contain: | the adviser’s name, | accredited body detals, | the end date of verification, | delclaration, | reference number, | and recommendation that... *maximum of 12 months from date of verification* bắt đầu học
|
|
that the reader should check that the adviser is on the FCA Register.
|
|
|
