Knowledge Base

What is the typical timeframe for receiving an approval response for a personal transaction?

Immediately

Within 24 to 48 hours

Within one week

Within one month

What is the obligation of employees regarding the reporting of personal transactions?

Report only if the transaction is approved

Report without delay any personal transaction carried out

Report only significant transactions

Report only once a year

What is the definition of a personal transaction according to Article 29 of Delegated Regulation 2017/565?

A transaction carried out only by the company's directors

A transaction in a financial instrument carried out by a relevant person outside the scope of their professional activity

A transaction carried out by a client of the company

A transaction carried out by an employee during working hours

Categorize items by dragging them to the appropriate zones

Items to categorize:

Transactions in diversified UCITS units

Short selling

Participation in initial public offerings

Categories:

Exempt transactions

Prohibited transactions

Transactions requiring enhanced approval

Short selling is generally permitted in the context of personal transactions.

True

False

Minimum holding period for personal transactions

Click to see answer

Exemptions for certain transactions that do not present a conflict risk are provided for by Article 29 of the Delegated Regulation.

True

False

According to Article 16(2) of the MiFID II directive, who is subject to personal transaction rules?

Only the company's directors

Directors, employees and tied agents

Only employees in contact with clients

Only majority shareholders