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Client Order Handling Issues Quiz

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Question 1 of 6

1. Question

Which types of restriction lists are mentioned in the Trading Against Lists section?

Watch List

Blocked List

Restricted List

Loan List

Research List

Compliance List

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Question 2 of 6

2. Question

Which scenario most specifically suggests “Inappropriate Assignment of Client Orders” rather than general poor execution quality?

A client receives worse pricing compared to simultaneous internal firm trades consistently during the execution window.

Market volatility results in client orders executing at slightly lower-than-expected market prices.

The firm occasionally achieves better fills due to natural market timing advantages in highly volatile markets.

Client trades are partially filled over time at prices matching broad market averages but slightly worse than institutional fills due to market fluctuations.

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Question 3 of 6

3. Question

In the Inappropriate Assignment Client Orders example, what pattern indicates inappropriate assignment?

The client got multiple fills

The order took 4 hours to complete

The bank's traders consistently achieved better prices than the client during the same window

The prices changed during the day

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Question 4 of 6

4. Question

If a trader is on the Wall Crossing List for security XYZ, and XYZ is also on the Watch List, what happens?

The trader can trade freely

The trader is restricted from trading XYZ

The trader can trade with approval

Only the Watch List restriction applies

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Question 5 of 6

5. Question

What makes the stop-loss triggering “inappropriate” in the Inappropriate Stop Loss Triggering example?

The stop-loss was set too close to market price

The client shouldn't have used a stop-loss

The market moved naturally

The firm's pre-hedging activity contributed to triggering the client's stop-loss

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Question 6 of 6

6. Question

In the Unfair Execution of Client Order example, if the firm claims their better prices were due to “superior execution capability,” this would be:

A valid defence

Acceptable if disclosed to client

Still a violation of best execution obligations

Only problematic if profits exceed $10,000

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