RE5 Practice Exam 4

Runs from Mar 3, 2021 until Jul 31, 2021

Runs from Mar 3, 2021 until Jul 31, 2021

Study Material:

sira academy - Study Guide 2

Study Guide 2, together with Practice Exam 4 prepares you for competence in the following RE5 Tasks:

Task 2: Contribute toward maintaining a FSP Licence

Task 4: Adhere to the Specific Codes of Conduct

Study Guide 2 Topics (for this practice exam)

12.Compliance Function

13.Code of Conduct: Definitions

14.Code of Conduct: Conflict of Interest

15.Code of Conduct: Requirements for FSPs regarding Custody of Funds

16.Code of Conduct: Advertising

17.Code of Conduct: Direct Marketing

18.The Requirements of the General Code of Conduct

19.Code of Conduct: Handling Complaints

20.Termination of Business Agreement