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CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study 
Questions with COMPLETE SOLUTIONS (LATEST 2024] 
Where does the FCA get the power to perform their regulatory role? - CORRECT 
ANSWER FSMA 2000 
Who regulates Banks in the UK? - CORRECT ANSWER The Bank of England 
Who funds the FCA via contributions? - CORRECT ANSWER Firms authorised 
under the Financial Services and Markets Act 2000 
Who develops and executes the governments public finance and economic 
policy? - CORRECT ANSWER Her majesty'...
- Exam (elaborations)
- • 14 pages •
CISI REGULATIONS EXAM CHAPTER 1 Final Exam Study 
Questions with COMPLETE SOLUTIONS (LATEST 2024] 
Where does the FCA get the power to perform their regulatory role? - CORRECT 
ANSWER FSMA 2000 
Who regulates Banks in the UK? - CORRECT ANSWER The Bank of England 
Who funds the FCA via contributions? - CORRECT ANSWER Firms authorised 
under the Financial Services and Markets Act 2000 
Who develops and executes the governments public finance and economic 
policy? - CORRECT ANSWER Her majesty'...
CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
CISI Regulations Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
How many days do clients get to cancel an OEIC investment (when they receive a 
cancellation notice)? (Chapter 4) - CORRECT ANSWER 14 
How long should MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 5 years 
How long should non-MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 3 years 
How long should pension transfer cancellation records be kept? (Chapter 4) - 
COR...
- Exam (elaborations)
- • 42 pages •
CISI Regulations Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
How many days do clients get to cancel an OEIC investment (when they receive a 
cancellation notice)? (Chapter 4) - CORRECT ANSWER 14 
How long should MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 5 years 
How long should non-MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 3 years 
How long should pension transfer cancellation records be kept? (Chapter 4) - 
COR...
CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
CISI – Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
When the UK regulator allows a firm to undertake regulated activities, it grants 
which of the following? 
A Authorisation 
B Financial Services and Markets Act 2000 prohibition 
C Regulatory exemption 
D Part 4A Permission - CORRECT ANSWER D Part 4A Permission 
- Activities must be permitted by the Part 4A Permission (status would be 
permitted with authorization) 
According to the UK Prospectus Rules (P...
- Exam (elaborations)
- • 343 pages •
CISI – Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
When the UK regulator allows a firm to undertake regulated activities, it grants 
which of the following? 
A Authorisation 
B Financial Services and Markets Act 2000 prohibition 
C Regulatory exemption 
D Part 4A Permission - CORRECT ANSWER D Part 4A Permission 
- Activities must be permitted by the Part 4A Permission (status would be 
permitted with authorization) 
According to the UK Prospectus Rules (P...
CISI Financial Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
CISI Financial Regulations Final Exam Study 
Questions with COMPLETE SOLUTIONS (LATEST 
2024] 
A firm engaging in a transaction triggered the COBS requirement to display proof 
of appropriateness for the transaction because the client: - CORRECT ANSWER 
Engaged in execution only trades 
Appropriateness is for non-advised trades and protects both professional and 
retail clients. The most likely factor to trigger the requirement to assess 
appropriateness is the execution only service, speci...
- Exam (elaborations)
- • 30 pages •
CISI Financial Regulations Final Exam Study 
Questions with COMPLETE SOLUTIONS (LATEST 
2024] 
A firm engaging in a transaction triggered the COBS requirement to display proof 
of appropriateness for the transaction because the client: - CORRECT ANSWER 
Engaged in execution only trades 
Appropriateness is for non-advised trades and protects both professional and 
retail clients. The most likely factor to trigger the requirement to assess 
appropriateness is the execution only service, speci...
CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
CISI – Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
When the UK regulator allows a firm to undertake regulated activities, it grants 
which of the following? 
A Authorisation 
B Financial Services and Markets Act 2000 prohibition 
C Regulatory exemption 
D Part 4A Permission - CORRECT ANSWER D Part 4A Permission 
- Activities must be permitted by the Part 4A Permission (status would be 
permitted with authorization) 
According to the UK Prospectus Rules (P...
- Exam (elaborations)
- • 373 pages •
CISI – Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
When the UK regulator allows a firm to undertake regulated activities, it grants 
which of the following? 
A Authorisation 
B Financial Services and Markets Act 2000 prohibition 
C Regulatory exemption 
D Part 4A Permission - CORRECT ANSWER D Part 4A Permission 
- Activities must be permitted by the Part 4A Permission (status would be 
permitted with authorization) 
According to the UK Prospectus Rules (P...
CISI technical exam Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
CISI technical exam Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
Total portfolio risk measured by - CORRECT ANSWER Systemic risk + specific 
risk 
Systemic risk measured by - CORRECT ANSWER Beta, the variance correlated to 
the market 
Specific risk measured by - CORRECT ANSWER Variance independent of the 
market (diversifiable) 
Required return - CORRECT ANSWER rfr + risk premium 
Holding period return - CORRECT ANSWER (val end - val start + CFs)/val start 
Variance - ...
- Exam (elaborations)
- • 39 pages •
CISI technical exam Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
Total portfolio risk measured by - CORRECT ANSWER Systemic risk + specific 
risk 
Systemic risk measured by - CORRECT ANSWER Beta, the variance correlated to 
the market 
Specific risk measured by - CORRECT ANSWER Variance independent of the 
market (diversifiable) 
Required return - CORRECT ANSWER rfr + risk premium 
Holding period return - CORRECT ANSWER (val end - val start + CFs)/val start 
Variance - ...
CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
CISI – Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
When the UK regulator allows a firm to undertake regulated activities, it grants 
which of the following? 
A Authorisation 
B Financial Services and Markets Act 2000 prohibition 
C Regulatory exemption 
D Part 4A Permission - CORRECT ANSWER D Part 4A Permission 
- Activities must be permitted by the Part 4A Permission (status would be 
permitted with authorization) 
According to the UK Prospectus Rules (P...
- Exam (elaborations)
- • 413 pages •
CISI – Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
When the UK regulator allows a firm to undertake regulated activities, it grants 
which of the following? 
A Authorisation 
B Financial Services and Markets Act 2000 prohibition 
C Regulatory exemption 
D Part 4A Permission - CORRECT ANSWER D Part 4A Permission 
- Activities must be permitted by the Part 4A Permission (status would be 
permitted with authorization) 
According to the UK Prospectus Rules (P...
CISI – Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
CISI – Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
Criminal offence: General defences insider dealing - CORRECT ANSWER No 
advantage was expected. 
A belief that the information had been widely disclosed 
Would have dealt anyway 
Did not expect the recipient to deal 
Special defences : insider dealing - CORRECT ANSWER Stabilisation 
Market information 
Market makers in the ordinary course of business 
If a UK company offers an inducement to a foreign agent ...
- Exam (elaborations)
- • 68 pages •
CISI – Regulations Final Exam Study Questions with 
COMPLETE SOLUTIONS (LATEST 2024] 
Criminal offence: General defences insider dealing - CORRECT ANSWER No 
advantage was expected. 
A belief that the information had been widely disclosed 
Would have dealt anyway 
Did not expect the recipient to deal 
Special defences : insider dealing - CORRECT ANSWER Stabilisation 
Market information 
Market makers in the ordinary course of business 
If a UK company offers an inducement to a foreign agent ...
CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
CISI Regulations Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
How many days do clients get to cancel an OEIC investment (when they receive a 
cancellation notice)? (Chapter 4) - CORRECT ANSWER 14 
How long should MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 5 years 
How long should non-MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 3 years 
How long should pension transfer cancellation records be kept? (Chapter 4) - 
COR...
- Exam (elaborations)
- • 29 pages •
CISI Regulations Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
How many days do clients get to cancel an OEIC investment (when they receive a 
cancellation notice)? (Chapter 4) - CORRECT ANSWER 14 
How long should MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 5 years 
How long should non-MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 3 years 
How long should pension transfer cancellation records be kept? (Chapter 4) - 
COR...
CISI Regulations Final Exam Study Questions with COMPLETE SOLUTIONS (LATEST 2024]
CISI Regulations Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
How many days do clients get to cancel an OEIC investment (when they receive a 
cancellation notice)? (Chapter 4) - CORRECT ANSWER 14 
How long should MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 5 years 
How long should non-MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 3 years 
How long should pension transfer cancellation records be kept? (Chapter 4) - 
COR...
- Exam (elaborations)
- • 29 pages •
CISI Regulations Final Exam Study Questions 
with COMPLETE SOLUTIONS (LATEST 2024] 
How many days do clients get to cancel an OEIC investment (when they receive a 
cancellation notice)? (Chapter 4) - CORRECT ANSWER 14 
How long should MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 5 years 
How long should non-MiFID client confirmation copies be kept? (Chapter 4) - 
CORRECT ANSWER 3 years 
How long should pension transfer cancellation records be kept? (Chapter 4) - 
COR...
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2023 [NGN] HESI MENTAL HEALTH RN V1-V3 TEST BANK EXAM Q& A BEST SOLUTION GRADED A+.
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