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The regulation of financial markets and institutions
7 Lessons
Level 1
Who regulates UK financial services
Who regulates UK financial services
Core
Level 2
The FCA's Principles, SM&CR and the markets it oversees
The FCA's Principles, SM&CR and the markets it oversees
Core
Level 3
Client categorisation and financial promotions
Client categorisation and financial promotions
Core · Free
Level 4
Suitability, appropriateness, best execution and research
Suitability, appropriateness, best execution and research
Core
Level 5
Product governance, disclosure and reporting to clients
Product governance, disclosure and reporting to clients
Core
Level 6
Client assets, complaints and compensation
Client assets, complaints and compensation
Core
Level 7
Money laundering, insider dealing and market abuse
Money laundering, insider dealing and market abuse
Core
Client categorisation and financial promotions
Start