Compliance Guideline for Marketing Material

1.

1 point

Which customer types is the guideline applicable for?

Non-Professionals

Professionals

Eligible Counterparts

All of the above

Non-professionals & professionals only

2.

1 point

Which of the following is/are NOT considered marketing material?

Research reports

E-mails or other form for normal electronic dialogue

Market data from publicly available sources (such as Bloomberg)

All of the above

None of the above

3.

1 point

What is always considered marketing material?

Brochures, material used for presentations, material used on websites and equity research reports.

Brochures, material used for presentations, material used on websites and printed material.

Brochures, material used for presentations, material used on websites and Product and Risk descriptions.

Brochures, material used for presentations, material used on websites and Nordea Markets internet tweets (Twitter messages).

4.

1 point

The information requirements for marketing material depend on...

Circulation, i.e. if targeted towards few or many customers

Complexity of the promoted instrument

Utilized promoting medium

All of the above

None of the above

5.

1 point

As a main rule, should the content in marketing targeted towards professional customers also be appropriate for non-professional customers?

Yes

No

6.

1 point

For professional customers and the products that they usually deal with, exemption from the content in the marketing material can be applied for. How long will an approved exemption by Compliance last?

5 years

15 months

3 years

1 year

7.

1 point

Marketing material should ALWAYS...

Include information about historical performance, expected return etc.

Include information about safeguarding measures, capital or other guarantees etc.

Separate commercial statements from facts.

Include information about the total costs

A) & B)

C) & D)

8.

1 point

In cases where costs cannot be calculated up front the material should give out a warning that the feature in question is not final, and where possible...

Give a minimum value or a range

Give an average value or a range

Give a maximum value or a range

None of the above

9.

1 point

What material must be approved by Local Compliance Officer?

Marketing material on high-risk products

Marketing material on structured products

Initial marketing material in connection to approval of a financial instrument

Marketing on web-sites or on printed media

All of the above

B), C) & D)

10.

1 point

Where the material describes future performance - customer benefits, expected return etc. - the description must contain a clear warning that...

... Nordea is not responsible for any potential losses

... higher expected return is associated with higher risk

... the disclosed forecasts are not a reliable indicator of future performance.

Any of the above