Online Exam 4

Advanced Integration I: Market Integrity, Compliance & Client Monitoring

Consequence-driven scenarios on abusive trading, gatekeeping, conflicts, communications and records.

120 questions · 180 minutes

Choose a mode

Exam mode 180:00 countdown, no feedback until you submit, just like exam day. If time runs out, your answers are submitted automatically.Practice mode Untimed. Check each answer as you go and read the explanation straight away.

Your answers save on this device as you go, so you can close the page and resume later.

What this exam covers

Topic	Questions
Know-Your-Client (KYC) & Suitability	29
Fixed Income	9
Equities	10
Securities Analysis	12
Managed Products & Other Investments	14
Portfolio Construction	11
Investment Recommendations	13
Execution & Market Integrity	11
Monitoring, Reporting & Maintaining Client Relationships	11