18 – Regulating firms and individuals

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CeMAP1 18 – Regulating firms and individuals

Previous Lesson

Course Content

1 – Introducing the financial services industry

2 – Economic policy and financial regulation

3 – UK Taxation 1

4 – UK Taxation 2

5 – State benefits and HMRC tax credits

6 – Direct investments: cash and fixed‐interest securities

7 – Other direct investments

8 – Collective investments

9 – Tax wrappers

10 – Pension products

11 – Life assurance

12 – Health and general insurance

13 – Secured and unsecured lending

14 – Understanding and satisfying customer needs

15 – The main advice areas

16 – Key legal concepts

17 – The FCA’s aims and activities

18 – Regulating firms and individuals

19 – Prudential supervision

20 – Conduct of business requirements 1

21 – Conduct of business requirements 2

22 – Consumer credit

23 – Anti‐money‐laundering

24 – Other regulation affecting the advice process

25 – Consumer rights, complaints and compensation

Resources for this course