Test your understanding of the code of ethics policy and procedure in this compliance training quiz. There are a set of rules that are expected to be followed in financial institutions so that one can obtain certain types of finances. Using the quiz below, you will get to test your understanding of some of these finances. Try it out and refresh your understanding!
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False
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A member of your family
A person who uses that information for his or her profit
A member of another hedge fund
A person who you know covers that stock
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False
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False
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False
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False
Has ever shorted the stock
Has shorted the stock anytime in the previous year prior to the pricing date
Is net short the position at the time of the registration period
Has shorted the stock 5 days before the pricing date
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Single name equity security
Options on currencies
Treasury bond
Interest in a hedge fund
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You suspect the bottle of wine has a value of more than $300
You are friends with the broker that gave it to you
You use this broker frequently
You suspect the bottle of wine costs more than $100
Have a member of Compliance or Legal sit in on conversations with the experts
Maintain records of all calls and meetings with participants in expert networks
Request compliance policies and procedures followed by the expert network firm
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False
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Restricted List
Focus List
Investible Securities List
PAR's portfolio List
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Quiz Review Timeline (Updated): Feb 18, 2024 +
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