UK Financial Services, regulations and ethics Demo

The aim of this course is to enable you to understand some key UK Financial Services, regulations and ethics subject areas and apply your knowledge.

The learning outcomes are appropriate both for someone wishing to supplement their studies for the CF1 or CeFA1/CeMAP1 exam and for professionals looking to brush up on their knowledge.

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Shortened demo course. See details at foot of page.

... After reading each chapter click on the "revision test" image to test your understanding of the chapter. At the end of the course all the revision questions have been combined into one revision test, you may want to take this prior to the case study and final exams.

Tax Tables
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Learning outcomes:

1. To understand the fundamental purpose of and participants within the financial services industry
2. To understand the following asset classes, their main features and suitability for certain circumstances:

Cash deposits
Government securities and corporate bonds
Equities
Property.

3. To understand the following product types, their main features and suitability for certain circumstances:

OEICs and unit trusts
Investment trusts
Individual Savings Accounts (ISAs)
Offshore funds
Onshore and offshore life assurance company products
Derivatives
Mortgage loans.

4. To understand the main areas of financial advice
5. To understand the...

Shortened demo course. See details at foot of page.

...d record keeping
Training and competence

Chapter 11 – FSA Conduct of Business Rules
Purpose of COBS rules and types of customer
Client agreements
Status of advisers and status disclosure
Advice and know your customer
Suitability of advice
Charges, commission and disclosure
Cooling off and cancellation
Dealing and managing
General Insurance
Mortgages

Chapter 12 Other Regulation
Anti Money Laundering regulation
Complaints and compensation
Access to medical reports Act 1988 and Access to Health records Act 1990
Data Protection Act 1998
Office of Fair Trading
Consumer Credit Acts
Pensions Regulator
Employment Equality (Age) Regulations 2006

Chapter 13 Glossary