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CEGE0113 - Private Equity and Venture Capital Regulation

2022

(c) What arrangements should regulated firms have in place with regards to whistleblowing?

[6 marks]

(d) You have been asked to design a culture and conduct dashboard. Name a quantitative and qualitative metric that you could use to measure each of culture and conduct and explain how these would be useful metrics.

[8 marks]

Question 4

(a) Please provide two examples of non-financial misconduct and two examples of financial misconduct, with descriptions for each.

[4 marks]

(b) Please list and describe three types of control.

[6 marks]

(c) What are Important Business Services for the purpose of ensuring operational resilience and what considerations would you make when determining            whether a business service is an Important Business Service?

[10 marks]

Question 5

(a) As a general principle, what does need to ensure is ‘fair, clear, and not

misleading’?

[1 mark]

(b) For regulated financial services firm, what is the difference between a retail customer and professional/institutional client? What is the rationale for the difference?

[2 marks]

(c) What is ‘target market’, and why is it key principle in product design?

[3 marks]

(d) State and describe three examples of good practice with respect to FCA expectations on vulnerable consumers.

[6 marks]

(e) Describe three aspects of effective processes for ongoing review of products post-launch. Why is it important for firms to have processes in place for       ongoing review of products post-launch?

[8 marks]