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Introduction to ACI 310-013: ACI Operations Certificate Challenging Exam

The ACI 310-013: ACI Operations Certificate Challenging Exam is the new exam version that has replaced the well known ACI Model Code exam (3I0-002). As the Model code exam was retired in 2017, this document will only focus on the ACI 310-013: ACI Operations Certificate Challenging Exam.

The ACI 310-013: ACI Operations Certificate Challenging The exam tests the comprehension of the six topics and 55 principles set out in the Global Code by a person and is an excellent first step in demonstrating compliance with the new Code and a possible differentiator in terms of career advancement. The program is designed for market participants (as specified by the ACi 3I0-013), including buying and selling groups, intermediaries, regulators and central banks, and is applicable to individuals engaged in front-end trading, middle-class, working, compliance and risk functions.

This certification aims to ensure that market participants operate to the highest standards of ethical conduct and best market practices. This Credential is an exemplary first step in demonstrating conformity to appropriate competent authorities with the latest Global Code and a potential differentiator in terms of ‘Code compliance' and career growth.

The benefit of obtaining the ACI 310-013: ACI Operations Certificate Challenging Exam Certification

  • Compliance with the conformity criteria levied by the financial services authorities

  • Formal certification of the perception by individuals of prevailing global norms of behaviour and business practises

  • Enhanced professional development profile with a recognised qualification for the industry

  • Chances, within your CPD profile, to explore more ACI Education opportunities

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ACI 3I0-013 Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Ethics (Principles 1–3)15%- Highest ethical and professional standards
- Conflict of interest identification and disclosure
Topic 2: Information Sharing (Principles 19–23)10%- Confidentiality and market information
- Communication standards
Topic 3: Governance (Principles 4–7)15%- Reporting and investigation procedures
- Oversight, supervision and culture
- Remuneration and incentive structures
Topic 4: Confirmation & Settlement (Principles 42–55)10%- Settlement best practices
- Reconciliation and dispute resolution
- Confirmation and matching processes
Topic 5: Risk Management & Compliance (Principles 24–41)15%- Risk frameworks and controls
- Counterparty and operational risk
- Compliance and audit requirements
Topic 6: Execution (Principles 8–18)20%- Roles: Agent vs Principal
- Order management and handling
- Electronic trading practices
- Price discovery and transparency
Topic 7: Introduction to the FX Global Code15%- Scope and application to market participants
- Overview and purpose of the Global Code
- Statement of Commitment

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