Guidelines for Investment Services Companies – Instruction
Über den Vortrag
Der Vortrag „Guidelines for Investment Services Companies – Instruction“ von Lecturio Online Courses ist Bestandteil des Kurses „Guidelines for Investment Services Companies – Instruction“.
Quiz zum Vortrag
A business partner gives you a present: a bottle of expensive whisky and a basket of regional delicacies. He wants to thank you for the successful cooperation. What is the best approach for you as an employee of an investment services company? (Only one answer is correct.)
- You are not allowed to accept gifts, so you decline the gift with thanks.
- You accept the gift and promise the business partner that you will continue to work particularly hard for their interests.
- You accept the gift on behalf of your department without consulting your compliance department.
- You file a criminal complaint against your business partner due to an attempted bribe.
Which of the listed services are considered securities services? (Several answers are correct.)
- Financial commission transactions
- Issuing transactions
- Foreign exchange transactions
- Dissemination of financial analyses
What do you have to ensure according to the best execution rule? (Several answers are possible.)
- You ensure the best possible trading conditions for your customers.
- You take all sufficient measures to achieve the best possible result for your customers.
- You fulfil orders exclusively in the customer's domestic market.
- You ensure that you refer your customers preferentially to partners who offer the most lucrative loyalty programmes.
Which factors are relevant for the best possible result with regard to the best execution rule for your customers? (Multiple answers are possible.)
- The costs of the transaction
- The security of the investment
- The media presence of the traded security
- The duration of the company's business relationship with a particular trading centre
Dozent des Vortrages Guidelines for Investment Services Companies – Instruction
Lecturio Online Courses
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