Licensing, capital requirements, conduct of business rules, and client protection obligations for CIFs.
12 out of 50 questions
24% of the exam
High weight chapterThe key concepts tested in Chapter 2.
CIF authorisation and licensing conditions
Client categorisation: retail, professional, eligible counterparty
Best execution and order handling rules
Conduct of business and client protection obligations
Conflicts of interest and inducements
This is a high-weight chapter — allocate more study time here. After studying, drill practice questions immediately while the material is fresh. Target 90%+ on this chapter before moving on.
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