Compliance team meeting
Compliance Knowledge Quiz
Test your knowledge of compliance rules and procedures with our engaging quiz!
This quiz covers crucial topics that are essential for effective compliance management.
- 9 Thought-Provoking Questions
- Multiple Choice & Open-Ended Format
- Designed for Compliance Professionals
How many compliance rule types are available within CMGR?
7
13
9
10
The different custom data which can be added within CMGR are ____.
TSCF, CCLS, NAV, IRAT, and Benchmark
TSCF & CCLS
TSCF, WATCHLIST, CCLS, and NAV
TSCF, CCLS, NAV, IRAT, Benchmark, and custom issuer
The available compliance uploads are ____.
Watchlist, TSCF, CCLS
TSCF, Account Value, and Benchmark
Benchmark, watchlist, TSCF, Custom Rating, and Account Value
Watchlist, custom rating, TSCF, CCLS, and Benchmark
Client is enabled for two PROD pricing numbers and would like to replicate the rules from one database to another in bulk. The only option available would be to manually create rules or upload rules via a feed.
True
False
Client is requesting access to edit watchlist but is a Compliance View Only user. Client will unfortunately not be able to edit watchlist with view only access and will need to contact an internal compliance officer.
True
False
A Regulatory Compliance package client would like to create and schedule a transactional report for a specific event?
AUDT
ERA
TH
AUDR
If pre-trade is checked within a rule, this means that the rule will trigger for orders and if checked for post trade it will trigger for trades that have been sent to ticket.
True
False
What data requires a backend refresh?
TSCF, Benchmarks & Models, and CCLS
CCLS Nodes, IRAT, TSCF, Benchmarks & Models, and Security level data change
Watchlist, CCLS, and TSCF
Account Attribute, account value, and TSCF
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