UK Financial Regulation (Capital Markets Programme) Quiz 10

Last Updated: June 2024

Table of Contents

UK Financial Regulation (Capital Markets Programme)
Element 3
-Record Keeping Requirements
On completion, the candidate should:
-know record keeping requirements in relation to:
• Anti – Money Laundering (AML)
• Combating the Financing of Terrorism (CFT)
UK Financial Regulation
V31 © Chartered Institute for Securities & Investment 15
-Disclosure and Transparency rules
On completion, the candidate should:
-know the purpose of the Disclosure and Transparency rules and
the control of information [DTR 2.1.3, 2.6.1]
-know the legal nature and purpose of the UK Takeover Code
(section 2 of the Introduction):
• the six General Principles
• the definitions of:
o “acting in concert”
o “dealings”
o “interest in shares”
o “relevant securities”
-understand the principles behind disclosure of interest rules and
why they are required
-know the following disclosure of interest rules:
• under the Disclosure and Transparency rules:
o the disclosure thresholds
o to whom disclosure has to be made and within what
o differing transparency requirements globally
• UK under the Companies Act 2006, Section 793, in relation to
company investigations

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