Knowledge Base

Which article of the AMF General Regulation defines the Compliance Officer for Investment Services (RCSI)?

Article 312-5

Article 313-31

Article 318-9

Article 321-39

What is the total number of questions in the AMF examination?

60 questions

80 questions

100 questions

120 questions

What is the distinctive feature of the Compliance and Internal Control Officer (RCCI)?

They must obtain a professional card after training and examination.

They assume the compliance and permanent control function with a required oral examination.

They supervise settlement-delivery and securities custody operations.

They execute orders on financial markets.

What are the three cumulative criteria for determining whether a person is subject to AMF certification?

1. Being an employee, having client contact, and being trained

2. Working within a regulated entity, having client contact or making investment decisions, and having a certification obligation

3. Having a licence, working in an office, and managing risks

4. Being a senior executive, having 5 years of experience, and completing continuing education

Role of the portfolio manager according to the AMF

Click to see answer

Financial investment advisers have been subject to the AMF examination since January 2020.

True

False

Categorize items by dragging them to the appropriate zones

Items to categorize:

Compliance Officer for Investment Services (RCSI)

Compliance and Internal Control Officer (RCCI)

Categories:

Requires a professional card

Requires an oral examination

AMF certification is valid for life once obtained.

True

False