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Identification
Please enter the name of your organization
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Question 1
You can use a same priority level only once
Choice | Priority |
---|---|
Anti-bribery '& corruption | |
Best execution and best selection | |
Clients' complaints | |
Commercial activities | |
Cost '& charges, Inducements | |
Data privacy | |
Financial crime (AML/KYC-KYD/Embargo/Sanction) | |
Fraud | |
Investment / divestment process | |
Market abuse | |
Marketing materials | |
Monitoring of ratios and restrictions (contractual and regulatory) | |
Outsourcing | |
Valuation | |
Proxy voting | |
Regulatory reporting | |
Tax requirements (FATCA/AEI, DAC6) | |
Volcker/LSB | |
Whistleblowing |
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