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Question 1 of 10
1. Question
True or false? Each country has its own system of financial regulations and isn’t subject to regulation by other bodies
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Question 2 of 10
2. Question
What ISN’T a regulatory body?
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Question 3 of 10
3. Question
What ISN’T a piece of regulation?
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Question 4 of 10
4. Question
When did Consumer Duty come into effect?
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Question 5 of 10
5. Question
Why is there a growing divide between large and small firms in asset management?
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Question 6 of 10
6. Question
What HASN’T been a recent trend in asset management?
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Question 7 of 10
7. Question
Financial promotions should be…
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Question 8 of 10
8. Question
True of false? The Retail Distribution Review (RDR) is the US version of the Financial Services Authority (FCA)
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Question 9 of 10
9. Question
What is UCITS?
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Question 10 of 10
10. Question
True or false? Any communication that isn’t promoting a firm’s general brand is considered a financial promotion, so it must include all the relevant risk warnings
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