CISI Platforms (IOC) Practice Questions - CISI Platforms, Wealth Management And Service Providers (Investment Operations Certificate Unit) Exam

Which UK regulator is primarily responsible for the conduct supervision of investment platforms serving retail clients?

The Bank of England The Financial Conduct Authority (FCA) The Prudential Regulation Authority (PRA) The Financial Reporting Council (FRC)

Correct Answer:

The Financial Conduct Authority (FCA)

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