ACI
3I0-012 · Question #357
3I0-012 Question #357: Real Exam Question with Answer & Explanation
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Question
Where there are shared management responsibilities or where an investment or shareholding exists in a broker by a counterparty:
Options
- Athe broker is not obligated to reveal any material connections provided Chinese Walls are in place.
- Bthe broker is not required to reveal any connections at all.
- Cthe broker is legally obliged to advise his clients of any material connections that exist.
- Dis a matter which is not covered by the Model Code.
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