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UK REGULATION.pdf

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Exam of 16 pages for the course CISI: UK Regulation & Professional Integrity at CISI: UK Regulation & Professional Integrity (UK REGULATION.pdf)

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CISI: UK Regulation & Professional Integrity
Course
CISI: UK Regulation & Professional Integrity

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UK REGULATION & PROFESSIONAL




MaxvpunishmentvforvMoneyvLaunderingv-vvCORRECTvANSWERS14vyears



MaxvpunishmentvforvMarketvAbusev-vvCORRECTvANSWERSunlimitedvfine



Maxvpunishmentvforvbreachingvgenvprohibitionv-vvCORRECTvANSWERS2vyears



Maxvpunishmentvforvprovidingvfundingvtovterroristsv-vvCORRECTvANSWERS5vyears



CISIvP8v-vvCORRECTvANSWERSIndustry,vSelf:vupholdvhighestvpersonalv&vprofessionalvstandards



CISIvP1v-
vvCORRECTvANSWERSClient:vactvhonestlyv&vfairlyvatvallvtimesvwhenvdealingvwithvclients,vactvinvbestv


interestsvofveachvclient,vcustomervandvcounterpary



CISIvP3v-
vvCORRECTvANSWERSRegulator:vobservevapplicablevlaws,vregsvandvprofessionalvconductvstandards


vwhenvcarryingvoutvfinvservices




CISIvP6v-
vvCORRECTvANSWERSClient,vSelf,vColleagues:vattainvandvactivelyvmaintainvlevelvofvprofessionalvco


mpetencevappropriatevtovresponsibilitiesv&vpromotevdevelopmentvofvothers

,CISIvP4v-
vvCORRECTvANSWERSMarketvParticipant:vobservevstandardsvofvmarketvintegrity,vgoodvpracticevand


vconductvexpectedvbyvparticipantsvofvthatvmarket




CISIvP2v-
vvCORRECTvANSWERSFirm/Industry:vactvwithvintegrityvinvfulfillingvresponsibilitiesvofvappointmentv


andvseekvtovavoidvanyvacts,vomissionsvorvpracticevwhichvdamagevreputationvofvyourvfirmvorvfinvserv
icesvindustry



CISIvP5v-
vvCORRECTvANSWERSClient:vbevalertvtovandvtovthevbestvofvabilityvmanagevrelevantvconflictsvofvinter


est



Chattelsv-vvCORRECTvANSWERSmoveablevpersonalvproperty



Taxv&vChanceryvChambervisvsetvupvbyv-vvCORRECTvANSWERSthevMinistryvofvJustice



KeyvFeaturesvdocumentv-
vvCORRECTvANSWERShasvprescribedvinfovaboutvthevnaturevandvcomplexityvofvthevinvestment;vsatis


fiesvinfovneedsvofvretailvclientsvwhenvsellingvpackagedvproducts,vcashvdepositvISAsvandvchildvtrustvf
unds;vincludesvcancellationvterms



Suitabilityvrequiredvforv-
vvCORRECTvANSWERSRCv(allvbusiness)v&vPCv(MifID)vforvdiscretionaryv&vadvisoryvservices




Suitabilityvreportvissuedvforv-vvCORRECTvANSWERSRCvonly,vprovidedvinvdurablevmedium



Appropriatenessvrequiredvforv-
vvCORRECTvANSWERSRCv&vPC,vforvservicesvothervthanvadvisingv&vmanagingv(i.e.,vexecution),vdealsvi


nvrelationvtovderivativesvandvwarrantsvforvRCvviavavdirectvoffer

, Appropriatenessvnotvrequiredvwhenv-vvCORRECTvANSWERSexecutionvonlyvinvnon-
complexvfinvinstrumentsvandvwhenvclientvhasvstatedvitvisvnotvneeded



Acceptablevexecutionvvenuesv-
vvCORRECTvANSWERSanyvsystematicvinternalisers,vanyvMTF,vanyvregulatedvmarket,vSOMEvOTCvmar


kets



PervMLvregs,vavfirmvdoesvnotvhavevtovverifyvindentificationvofvavnewvclientvwhenv-
vvCORRECTvANSWERSthevchequevpresentedvbyvthevclientvisvinvtheirvownvnamevandvdrawnvonvavUKv


bankvaccount;vthevpersonvisvlistedvinvthevMLvDirectivevandvifvtransactionvisvavone-
offvandvwithvavfin.vinstit.vwhichvisvpartvofvthevFATF



PRINv1v-vvCORRECTvANSWERSIntegrity



PRINv2v-vvCORRECTvANSWERSSkill,vcarevandvdiligence



PRINv3v-vvCORRECTvANSWERSManagementvandvcontrol



PRINv4v-vvCORRECTvANSWERSFinancialvprudence



PRINv5v-vvCORRECTvANSWERSMarketvConduct



PRINv6v-vvCORRECTvANSWERSCustomers'vInterestv(beforevthosevofvfirm)



PRINv7v-vvCORRECTvANSWERSCommunicationvwithvclientsv(clear,vfairvandvnotvmisleading)
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CISI: UK Regulation & Professional Integrity
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CISI: UK Regulation & Professional Integrity

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November 24, 2025
Number of pages
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2025/2026
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