ACI THE MODEL CODE EXAMINATION 3I0-002 Certified Exam Dumps

3I0-002 Exam Dumps

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Certification Provider: ACI
Exam Code / Number: 3I0-002
Exam Name: ACI THE MODEL CODE EXAMINATION
Exam Questions: 100
Corresponding Certification: ACI-Financial Markets Association

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Introduction to ACI FX Global Code Certificate Exam

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

The ACI FX Global Code Certificate 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 FX Global Code), 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.

Who should take the ACI FX Global Code Certificate Exam

Everyone who is into promoting the credibility and efficiency of global operation of the FX Industry is recommended to get this certification. The ACI FX Global Code Certificate Exam is primarily intended for the following groups:

  • Officers of compliance and risk
  • Central banks and regulators
  • Participants in the financial market from buy side, sell side and intermediary institutions
  • Personnel from middle offices and operations

ACI 3I0-002 Exam Syllabus Topics:

SectionObjectives
Operational Controls- Post-trade processes
  • 1. Error handling
  • 2. Record keeping
  • 3. Trade confirmation
  • 4. Settlement procedures
Risk Management and Compliance- Control framework
  • 1. Credit and settlement risk
  • 2. Compliance responsibilities
  • 3. Operational risk management
  • 4. Internal controls
Disputes and Professional Standards- Resolution procedures
  • 1. Mediation principles
  • 2. Handling disputes between counterparties
  • 3. Adherence to the Model Code
Market Practice- OTC market conventions
  • 1. Foreign exchange market conventions
  • 2. Derivative transaction practices
  • 3. Money market conventions
General Principles of Conduct- Market integrity
  • 1. Confidentiality obligations
  • 2. Professional behavior
  • 3. Honesty and fair dealing
  • 4. Conflicts of interest
Dealing Practice- Trading procedures
  • 1. Deal execution and confirmation
  • 2. Firm and indicative quotations
  • 3. Voice and electronic trading practices
  • 4. Broker relationships
Introduction and Scope of the Model Code- Purpose and objectives
  • 1. Professional standards and ethical principles
  • 2. Role of the Model Code in OTC financial markets


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