ACI
3I0-012 · Question #622
In a dispute between the dealer and a broker, the Model Code recommends that this should be referred in the first instance to:
The correct answer is B. Senior management of the bank and the brokerage firm. See the full explanation below for the reasoning.
Question
In a dispute between the dealer and a broker, the Model Code recommends that this should be referred in the first instance to:
Options
- ACentral bank.
- BSenior management of the bank and the brokerage firm.
- CHead of compliance.
- DACI's Committee for Professionalism (CFP).
How the community answered
(45 responses)- A4% (2)
- B73% (33)
- C9% (4)
- D13% (6)
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