Knowledge Base
← Ethics, Compliance, and Ethical Organization of Institutions
Questions
Which professional association is authorised to develop codes of conduct for asset management in France, according to Article 314-2 of the AMF General Regulation?
Which law requires large companies to implement programmes that include corruption risk mapping?
What elements must an ethics programme cover according to the loi Sapin 2?
What are the two cardinal principles underpinning French financial ethics?
The internal code of conduct should be accessible only to members of senior management.
True
False
Categorize items by dragging them to the appropriate zones
Items to categorize:
Reporting channels for regulatory breaches
Aggregated risk indicators
Exception reports flagging significant deviations
Categories:
Whistleblowing mechanisms
Monitoring tools
Main role of the RCCI
Click to see answer
Continuing professional development for staff is not mandatory under MiFID II.
True
False