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True or false? Each country has its own system of financial regulations and isn’t subject to regulation by other bodiesCorrectIncorrect
What ISN’T a regulatory body?CorrectIncorrect
What ISN’T a piece of regulation?CorrectIncorrect
When did Consumer Duty come into effect?CorrectIncorrect
Why is there a growing divide between large and small firms in asset management?CorrectIncorrect
What HASN’T been a recent trend in asset management?CorrectIncorrect
Financial promotions should be…CorrectIncorrect
True of false? The Retail Distribution Review (RDR) is the US version of the Financial Services Authority (FCA)CorrectIncorrect
What is UCITS?CorrectIncorrect
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 warningsCorrectIncorrect