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Questions

Which investment service consists of receiving client orders and transmitting them to another service provider for execution?

Portfolio management on behalf of third parties
Execution of orders on behalf of third parties
Order reception-transmission
Investment advice

Which category of financial instruments includes shares, bonds and units of collective investment schemes?

Financial contracts
Financial securities
Derivative instruments
Structured products

Which article of the Code monétaire et financier defines the nine investment services?

Article L. 533-12
Article L. 321-1
Article L. 211-1
Article L. 313-18

What are the derivative instruments mentioned in the context of financial contracts?

Shares and bonds
Options, futures and swaps
Units of collective investment schemes
Structured products

Target market under MiFID II

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Portfolio management on behalf of third parties means that the provider makes investment decisions without a mandate from the client.

True
False

Investment advice takes the form of non-personalised recommendations.

True
False