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

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

6.

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)

7.

1 point

The material should contain a product-related risk description (preferably in a paragraph of its own) of the promoted instrument including (among other things and where relevant):

The risks associated with the leverage, and the risk of losing the entire investment (capital risk)

The risk of losses due to changes in market value of financial instrument (market risk)

The risk of losses due to non-performance by the counterpart (credit risk) or due to non-functioning secondary market (liquidity risk)

The risks associated with misprinted marketing material

All of the above

A), B) & C)

8.

1 point

In case the promoted instrument is composed of two or more different financial instruments, and the risks associated with the instrument are likely to be greater than any of the individual component, the material should disclose...

The underlying risk calculation data

A detailed assessment of the risks associated with each individual component

The way in which the interaction increases the risks

The fact that the risks associated with the instruments is greater than any of the individual component

9.

1 point

If the material relates to an issue of a fixed income instrument with variable issue price...

...the effective yield should be disclosed in the material

...the feature and the subsequent effective yield should be disclosed in the material

...the feature should be disclosed in the material

10.

1 point

When drafting some marketing material. Do I need to use a disclaimer and where can the correct disclaimer be obtained?

I need to use a disclaimer only for material used on websites. The disclaimer can be copied from already existing marketing material.

I should as a main rule always use a disclaimer. The disclaimer is located in the appendix to the guideline.

Only marketing material promoting structured bonds needs a disclaimer. The disclaimer is embedded in a fixed marketing material template.