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:

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

• To whom the ACi 3I0-013 applies

• 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):

• Understand who is responsible for maintaining these standards of behaviour

• Know the core expectations for ethical 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):

• Understand why different mechanisms of promotion and remuneration are used

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

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

• Understand the correct procedure for investigating reports of 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

• Know where and how to report concerns about 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 conduct expectations of Interdealer Brokers

• Understand expectations of an E-Trading Platform

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

For more info, read the reference:

ACI Website

Exam Contents

Sample Questions

FAQs and Guide

Difficulty in Writing ACI 310-013: ACI Operations Certificate Challenging Exam

Every exam seems difficult if not well prepared. One of the key problems faced by most candidates is choosing the right research materials for their exam preparation, since they use the internet to find too much data that makes it difficult for them to trust, which would be helpful for them. The “How to Study for ACI 310-013: ACI Operations Certificate Challenging Exam” section focuses on the resources needed for the best exam preparation. It is strongly advised to use the course contents mentioned in this document to search online for relevant study material to gain an understanding of what each topic is about. Continuous learning is provided by ACI ELAC portal. ACI 310-013: ACI Operations Certificate Challenging Exam is not a technical exam and can be very easy to solve if well prepared. ACi 3I0-013 practice exams are provided by Test4Sure and can be accessed via the links at the bottom of this document. Test4Sure have the most up-to-date ACi 3I0-013 exam dumps. Test4Sure also include practice testing, which proves to be an outstanding forum for testing the information gained. Sample questions provided on the ACI's official website can also be very helpful to gain knowledge of the type of questions expected in the exam.