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Code of Conduct Adhere to the specific Codes of Conduct
Tony owns Venda Financial Brokers. Which of the following would amount to a breach of the General Code of Conduct?
RE5 practice question with a worked answer. This is one of hundreds of FSCA RE5 questions in the RegulatoryExams question bank.
- a) Running advertising or marketing that is misleading.Correct
- b) Logging a client complaint and properly informing his compliance officer about it.
- c) Giving a client enough clear information to make an informed decision.
- d) Disclosing all relevant fees and commissions before the client decides.
Why this is the answer
Misleading advertising or marketing is a clear General Code breach. Properly logging and escalating complaints, giving clients adequate information, and disclosing fees up front are all examples of compliant conduct, not violations.
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