Real Revision
問題一覧
1
The Senior Managers and Certification Regime aims to strengthen market integrity by:
c. making individuals more accountable for their conduct and competence.
2
Rodriguez works for a firm of investment advisers. There is much talk within the firm about putting the customers' interests first but he also feels uncomfortable and under pressure to meet the demanding income targets set by the firm. What initial step in resolving this dilemma is he LEAST likely to take?
c. Put his concerns in writing to the compliance officer.
3
Jonathan is struggling to meet his monthly expenditure and needs to reduce his spending. What would be the LEAST suitable action he could undertake?
d. Suspend monthly payments for his mortgage, to allow him time to build up some extra funds.
4
When establishing the client's circumstances, an example of a soft fact would be their:
b. attitude to risk.
5
When providing financial advice, the FCA rules state that a:
a. fact-find should be completed when giving advice to a new client only.
問題一覧
1
The Senior Managers and Certification Regime aims to strengthen market integrity by:
c. making individuals more accountable for their conduct and competence.
2
Rodriguez works for a firm of investment advisers. There is much talk within the firm about putting the customers' interests first but he also feels uncomfortable and under pressure to meet the demanding income targets set by the firm. What initial step in resolving this dilemma is he LEAST likely to take?
c. Put his concerns in writing to the compliance officer.
3
Jonathan is struggling to meet his monthly expenditure and needs to reduce his spending. What would be the LEAST suitable action he could undertake?
d. Suspend monthly payments for his mortgage, to allow him time to build up some extra funds.
4
When establishing the client's circumstances, an example of a soft fact would be their:
b. attitude to risk.
5
When providing financial advice, the FCA rules state that a:
a. fact-find should be completed when giving advice to a new client only.