- Exam Code: 3I0-013
- Exam Name: ACI Operations Certificate challenging
- Updated: Aug 24, 2026
- Q & A: 386 Questions and Answers
These core topics of ACI 310-013 exam dumps listed below are general recommendations for the material that is likely to be used for the examination. However, on any particular delivery of the test, other similar topics could also appear. The guidelines below can be updated at any time without notice to better represent the contents of the exam and for clarity purposes.
In addition to the topics discussed below, it is anticipated that candidates will be up-to-date with the latest events and market shifts. The updated syllabus effective from July 2019 onwards for the ACI 310-013 practice exams are listed below in detail of each section and their topics:
1. Introduction to the ACi 3I0-013
At the end of this section, candidates should:
To whom the ACi 3I0-013 applies
What type of market participants are impacted by the ACi 3I0-013
The six leading principles of the ACi 3I0-013
2. Ethics
At the end of this section, candidates should understand what is expected of them to exercise judgement to act ethically and professionally:
Understand who is responsible for maintaining these standards of behaviour
Know the core expectations for ethical behaviour
Know what appropriate arrangements can be made to eliminate conflicts of interest
Understand the importance of the disclosure of conflicts of interest
Understand potential areas where conflicts of interest may arise
3. Governance
At the end of this section, candidates should: understand the appropriate governance structures that should be in place to promote and support the principles of the ACi 3I0-013:
Understand why different mechanisms of promotion and remuneration are used
Know the factors to be considered to ensure ethical and professional conduct
Understand the correct procedure for investigating reports of inappropriate behaviour
Know where and how to report concerns about inappropriate behaviour
Understand the importance of effective mechanisms to investigate and respond to reports of inappropriate behaviour
Understand the correct procedures for internal escalation and external reporting
4. Execution
At the end of this section, candidates should: Understand what is expected to execute and
negotiate transactions in a fair and transparent manner:
Understand the role and conduct expected of order handlers
Understand expectations of an E-Trading Platform
Understand conduct expectations of Interdealer Brokers
Understand what clients should be made aware of when handling orders
Understand expectations of clients
The ACI 310-013: ACI Operations Certificate Challenging Exam is the new exam version that has replaced the well known ACI Model Code exam (3I0-002). As the Model code exam was retired in 2017, this document will only focus on the ACI 310-013: ACI Operations Certificate Challenging Exam.
The ACI 310-013: ACI Operations Certificate Challenging The exam tests the comprehension of the six topics and 55 principles set out in the Global Code by a person and is an excellent first step in demonstrating compliance with the new Code and a possible differentiator in terms of career advancement. The program is designed for market participants (as specified by the ACi 3I0-013), including buying and selling groups, intermediaries, regulators and central banks, and is applicable to individuals engaged in front-end trading, middle-class, working, compliance and risk functions.
This certification aims to ensure that market participants operate to the highest standards of ethical conduct and best market practices. This Credential is an exemplary first step in demonstrating conformity to appropriate competent authorities with the latest Global Code and a potential differentiator in terms of ‘Code compliance' and career growth.
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Format: Multiple choice
Language of Exam: English
Questions: 40
Duration of Exam: 60 minutes
Validity: 1 year
Passing percentage: 75%
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| Section | Weight | Objectives |
|---|---|---|
| Governance (Principles 4–7) | 15% | - Remuneration and incentive structures - Reporting and investigation procedures - Oversight, supervision and culture |
| Information Sharing (Principles 19–23) | 10% | - Communication standards - Confidentiality and market information |
| Execution (Principles 8–18) | 20% | - Electronic trading practices - Roles: Agent vs Principal - Price discovery and transparency - Order management and handling |
| Risk Management & Compliance (Principles 24–41) | 15% | - Counterparty and operational risk - Risk frameworks and controls - Compliance and audit requirements |
| Ethics (Principles 1–3) | 15% | - Highest ethical and professional standards - Conflict of interest identification and disclosure |
| Introduction to the FX Global Code | 15% | - Scope and application to market participants - Statement of Commitment - Overview and purpose of the Global Code |
| Confirmation & Settlement (Principles 42–55) | 10% | - Settlement best practices - Reconciliation and dispute resolution - Confirmation and matching processes |
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