How to study the ACI 310-013: ACI Operations Certificate Challenging Exam

In an approved Test Centre, all ACI examinations are delivered electronically in a regulated environment. The ACI Financial Markets Association is an examination body and third parties, such as training firms, business schools and authors, provide resources for exam preparation. Syllabus, sample questions and other resources can be found at the ACI's official website. Practice can be improved if ACI 3I0-013 practice exams are taken before applying for the exam. Refer to the links below to access them. Students are highly encouraged to access the ACI Accredited Trainers section from the links down below as they are very helpful when it comes to exam preparation.

Topics of ACI 310-013: ACI Operations Certificate Challenging Exam

These core topics of ACI 310-013 exam dumps listed below are general recommendations for the material that is likely to be used for the examination. However, on any particular delivery of the test, other similar topics could also appear. The guidelines below can be updated at any time without notice to better represent the contents of the exam and for clarity purposes.

In addition to the topics discussed below, it is anticipated that candidates will be up-to-date with the latest events and market shifts. The updated syllabus effective from July 2019 onwards for the ACI 310-013 practice exams are listed below in detail of each section and their topics:

1. Introduction to the ACi 3I0-013

At the end of this section, candidates should:

• Understand what the ACi 3I0-013 is and how it was developed know and understand:

• To whom the ACi 3I0-013 applies

• The six leading principles of the ACi 3I0-013

• What type of market participants are impacted by the ACi 3I0-013

2. Ethics

At the end of this section, candidates should understand what is expected of them to exercise judgement to act ethically and professionally:

• Understand Principle 1 (Striving for the highest ethical standards):

• Know the core expectations for ethical behaviour

• Understand who is responsible for maintaining these standards of behaviour

• Understand Principle 2 (Strive for the highest professional standards):

• Understand what is required to conduct themselves to the highest standards of professionalism

• Understand Principle 3 (Conflict of interest):

• Know what appropriate arrangements can be made to eliminate conflicts of interest

• Understand the importance of the disclosure of conflicts of interest

• Understand potential areas where conflicts of interest may arise

3. Governance

At the end of this section, candidates should: understand the appropriate governance structures that should be in place to promote and support the principles of the ACi 3I0-013:

• Understand Principle 4 (Oversight and supervision):

• Understand how to provide business strategy and financial soundness to supervise and oversee Market Participants' conduct

• Understand Principle 5 (A culture of ethical and professional conduct):

• Know and understand different types of internal and external methods of conduct supervision

• Understand Principle 6 (Remuneration structures):

• Know the factors to be considered to ensure ethical and professional conduct

• Understand why different mechanisms of promotion and remuneration are used

• Understand Principle 7 (Policies and procedures for improper behaviour):

• Know where and how to report concerns about inappropriate behaviour

• Understand the correct procedures for internal escalation and external reporting

• Understand the importance of effective mechanisms to investigate and respond to reports of inappropriate behaviour

• Understand the correct procedure for investigating reports of inappropriate behaviour

4. Execution

At the end of this section, candidates should: Understand what is expected to execute and

negotiate transactions in a fair and transparent manner:

• Understand Principle 8 (Roles and responsibilities):

• Understand the difference between Agent and Principal

• Understand Principle 9 (Order management):

• Understand the role and conduct expected of order handlers

• Understand expectations of clients

• Understand what clients should be made aware of when handling orders

• Understand expectations of an E-Trading Platform

• Understand conduct expectations of Interdealer Brokers

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For more info, read the reference:

ACI Website

Exam Contents

Sample Questions

FAQs and Guide

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Introduction to ACI 310-013: ACI Operations Certificate Challenging Exam

The ACI 310-013: ACI Operations Certificate Challenging Exam is the new exam version that has replaced the well known ACI Model Code exam (3I0-002). As the Model code exam was retired in 2017, this document will only focus on the ACI 310-013: ACI Operations Certificate Challenging Exam.

The ACI 310-013: ACI Operations Certificate Challenging The exam tests the comprehension of the six topics and 55 principles set out in the Global Code by a person and is an excellent first step in demonstrating compliance with the new Code and a possible differentiator in terms of career advancement. The program is designed for market participants (as specified by the ACi 3I0-013), including buying and selling groups, intermediaries, regulators and central banks, and is applicable to individuals engaged in front-end trading, middle-class, working, compliance and risk functions.

This certification aims to ensure that market participants operate to the highest standards of ethical conduct and best market practices. This Credential is an exemplary first step in demonstrating conformity to appropriate competent authorities with the latest Global Code and a potential differentiator in terms of ‘Code compliance' and career growth.

Dear, do you want to change your current life? Gain the 3I0-013 exam certification to equip yourself with more competitive advantage. Qualified by the 3I0-013 certification demonstrates that you have honed your skills through rigorous study and hands-on experience. In the job hunting, the qualified people have more possibility to get a better position. So, in order to get more chance for options, it is necessary to get the 3I0-013 exam certification. While the knowledge you study may be not enough to pass the actual test, thus you need some useful study material, such as the 3I0-013 examkiller study guide from our site.

ACI 3I0-013 Exam Syllabus Topics: