ACI
3I0-012 · Question #586
3I0-012 Question #586: Real Exam Question with Answer & Explanation
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Question
It is now permissible in most markets for brokers to be owned by banks and other principals. Where there is shared management, or a share holding or other investment in a broker by a counterparty:
Options
- AThe broker is not obligated to reveal the connection provided Chinese Walls are in place.
- BThe broker is not obligated to reveal the connection in the professional market.
- CThe broker should advise the other counterparty of the connection.
- DThe matter is covered in the Model Code.
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