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The benefit of obtaining the ACI 310-013: ACI Operations Certificate Challenging Exam Certification
Formal certification of the perception by individuals of prevailing global norms of behaviour and business practises
Enhanced professional development profile with a recognised qualification for the industry
Compliance with the conformity criteria levied by the financial services authorities
Chances, within your CPD profile, to explore more ACI Education opportunities
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Topics of ACI 310-013: ACI Operations Certificate Challenging Exam
These core topics of ACI 310-013 exam dumps listed below are general recommendations for the material that is likely to be used for the examination. However, on any particular delivery of the test, other similar topics could also appear. The guidelines below can be updated at any time without notice to better represent the contents of the exam and for clarity purposes.
In addition to the topics discussed below, it is anticipated that candidates will be up-to-date with the latest events and market shifts. The updated syllabus effective from July 2019 onwards for the ACI 310-013 practice exams are listed below in detail of each section and their topics:
1. Introduction to the ACi 3I0-013
At the end of this section, candidates should:
- Understand what the ACi 3I0-013 is and how it was developed know and understand:
What type of market participants are impacted by the ACi 3I0-013
The six leading principles of the ACi 3I0-013
To whom the ACi 3I0-013 applies
2. Ethics
At the end of this section, candidates should understand what is expected of them to exercise judgement to act ethically and professionally:
- Understand Principle 1 (Striving for the highest ethical standards):
- Understand Principle 2 (Strive for the highest professional standards):
- Understand what is required to conduct themselves to the highest standards of professionalism
- Understand Principle 3 (Conflict of interest):
Know what appropriate arrangements can be made to eliminate conflicts of interest
Understand potential areas where conflicts of interest may arise
Understand the importance of the disclosure of conflicts of interest
3. Governance
At the end of this section, candidates should: understand the appropriate governance structures that should be in place to promote and support the principles of the ACi 3I0-013:
- Understand Principle 4 (Oversight and supervision):
- Understand how to provide business strategy and financial soundness to supervise and oversee Market Participants' conduct
- Understand Principle 5 (A culture of ethical and professional conduct):
- Know and understand different types of internal and external methods of conduct supervision
- Understand Principle 6 (Remuneration structures):
- Understand Principle 7 (Policies and procedures for improper behaviour):
Understand the importance of effective mechanisms to investigate and respond to reports of inappropriate behaviour
Understand the correct procedures for internal escalation and external reporting
Understand the correct procedure for investigating reports of inappropriate behaviour
Know where and how to report concerns about inappropriate behaviour
4. Execution
At the end of this section, candidates should: Understand what is expected to execute and
negotiate transactions in a fair and transparent manner:
- Understand Principle 8 (Roles and responsibilities):
- Understand the difference between Agent and Principal
- Understand Principle 9 (Order management):
Understand expectations of an E-Trading Platform
Understand expectations of clients
Understand conduct expectations of Interdealer Brokers
Understand what clients should be made aware of when handling orders
Understand the role and conduct expected of order handlers
What is the duration, language, and format of ACI 310-013: ACI Operations Certificate Challenging Exam
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