Summary |
CONTENTS
1 Purpose and structure of the UK Financial services industry
2 Main financial asset Classes and their Characteristics
3 Financial services product types and their functions
4 Main areas of financial advice
5 Process of providing financial advice
6 Legal Concepts relevant to financial advice
7 Taxation of individuals
8 National insurance and social security benefits
9 The financial Services Authority (FSA): its aims, activities and approach to regulation
10 FSA rules on firms’ control structures
11 FSA Conduct of Business Rules (COB)
12 Other regulatory and legislative requirements
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