| H2 - H6 | <h4>To which body should a firm report a significant breach of handling personal data?</h4>
<h4>If the FCA discovers a contravention of its rules, one of the steps it may take is to vary a firm's permissions.</h4>
<h4>Simon has found that his loan, taken out in 2005, is subject to FCA regulation under MCOB. This is because it is:</h4>
<h4>Which of the following risk warnings must appear on all advertising material containing details of past investment performance?</h4>
<h4>The specialist sourcebooks section within the FCA Handbook includes arrangements for:</h4>
<h4>When buying goods or services, consumers have a right to each of the following except:</h4>
<h4>To which of the following will the provisions of MiFID always apply?</h4>
<h4>Robo-advisers provide financial advice which is primarily based on the use of</h4>
<h4>When undertaking investment business, the level of client charges should reflect:</h4>
<h4>For a firm involved in non-MiFID business, training and competence records for all individuals must be retained for what minimum period after they have stopped carrying out regulated activity?</h4>
<h4>Which of the following is a specific FCA requirement in relation to direct offer advertisements?</h4>
<h4>Why was the Financial Action Task Force set up?</h4>
<h4>Why might money laundering regulations create financial exclusion?</h4>
<h4>If a customer cancels their level term assurance contract within the cooling-off period, the insurance company must return all premiums paid to it within how many days?</h4>
<h4>Under the FCA client categories, which of the following is least likely to be categorised as being an eligible counterparty?</h4>
<h4>One of the six outcomes for retail consumers in relation to the fair treatment of customers requires that firms ensure that there are no unreasonable barriers to:</h4>
<h4>Under the EU Fourth Money Laundering Directive, beneficial owners of legal entities are defined as those who own or control what minimum percentage of | 50 | 255 | min - 47
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