Compliance & ethical marketing quiz

1.Which of these is most likely to be treated as a financial promotion?

A private conversation with your accountant about your own tax returnA reel encouraging viewers to open a trading account through your referral linkA shopping list you keep on your phoneA message to a friend arranging to meet for coffee

2.A client deposits 2,000 USD and opens a position worth 100,000 USD. The position's value moves 1% against them. How much have they lost?

100 USD200 USD2,000 USD1,000 USD

3.Which regulator covers financial activity in the Dubai International Financial Centre (DIFC)?

Dubai Financial Services Authority (DFSA)Capital Market Authority (CMA, formerly the SCA)Financial Services Regulatory Authority (FSRA)No regulator covers the DIFC

4.Why might more than one country's rules apply to an IB's marketing?

Only the rules where the IB lives ever applyThe IB can choose which country's rules to followMany regulators apply their rules to promotions aimed at, or received by, people in their countrySocial media platforms replace national rules with their own

5.An IB had 3 winning trades of 200 USD each and 7 losing trades of 150 USD each in a month. What was the net result?

A gain of 600 USDA gain of 150 USDA loss of 450 USDA loss of 1,050 USD

6.Which of these is a clear disclosure of an IB relationship?

"I am an introducing broker for the broker linked below, and the broker pays me when people who join through my link trade.""Not sponsored, just my honest opinion."A single partnership hashtag hidden among thirty other hashtagsNo disclosure, because the post is educational

7.A follower offers to send you money so that you can fund their trading account for them. What should you do?

Accept, as long as you give them a receiptAccept only small amountsAsk for their login instead so they can fund it themselves through youDecline, and tell them to deposit directly with the broker through the broker's official channels

8.According to the pre-publish checklist, what should you do if the answer to any check is "not sure"?

Publish it with a larger risk warningDo not publish until you have fixed it or checkedPublish now and edit it later if anyone complainsAsk your followers to vote on whether it is compliant