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PRIIPs Quiz

Category 4 = which type if investment fund?
Investment Trust
With Profits
Unit Trust
What is the minimum number of years' historical data required to calculate the MRM for a daily pricing fund?
2
4
5
What is the minimum number of years' historical data required to calculate the MRM for a monthly pricing fund?
2
4
5
A proxy is required for annually pricing funds that are younger than?
2
4
5
The proxy for an Investment Trust should be chosen from a list of what?
AIC sectors
ABI Sectors
Morningstar sectors
The proxy for Life funds should be chosen from a list of what?
AIC sectors
ABI Sectors
Morningstar sectors
If the client wishes to use a proxy other than the list provided in the template, then CDP should contact who, in order to proceed further?
Project Manager
Client Support
Data Relationship Manager
Can a client use non-FE templates or provide data separately outside of a template?
Yes
No
Who is the escalation point for CDP if a client is likely to breach their deadline?
Project Manager
Client Support
Data relationship Manager
Which mailbox should the client send the completed fund level and product level data templates?
ClientDataProjects@FE
PRIIPsData@FE
ClientSupport@FE
What does PRIIP stand for?
Primary Retail Investment Information Product
Personal Retail Indicative Insurance Product
Packaged Retail and Insurance-based Investment Products
The SRI is composed of which 2 risk measures?
Credit Risk & Market Risk
Volatility & Market Risk
Volatility & Performance
A proxy is required under what 2 circumstances?
Unit Share does not have enough history or is an outcome focused fund that has had a change of Investment Method
Unit Share does not have enough history or is not an outcome focused fund that has had a change of Investment Style.
Unit Share does not have enough history or is an outcome focused fund that has had a change of Investment Style.
What is the Recommended Holding Period?
The recommended amount of time (in years) that an investor is advised to wait before investing in the fund.
The recommended amount of time (in years) that an investor is advised to hold assets in the fund.
The recommended amount of time (in years) that an investment manager should offer the fund for.
Under what circumstance may a fund manager provide a proxy effective date that is after the fund launched?
A fund that has changed management group
A With Profits fund that has no target volatility
An outcome focused fund which has changed investment style
The client is unsure what the credit quality escalating and mitigating factor are. Where should they be directed to find the answer?
Definitions and RTS reference tab in the fund level data templates
ClientSupport@FE
The prospectus of the fund
The Client advises that they have not provided a figure for full biometric risk premium because this is already covered in their Insurance costs. Based on this is the figure still required?
Yes – even if the figure is the same, it should be provided twice in both fields
No - It is already covered by the biometric risk premium.
Client ABC have provided a product & fund mapping template. What is the correct format of the code?
245YUT7
ABC245YUT7
245YUT7ABC
How is the performance fee calculated?
The performance fee which is relevant, as at the PRIIP production date
Average of past 5 year’s performance fee data
The last performance fee that was paid to the investor
If “Is Flexible” is marked as “Yes”, then what other field needs to be populated?
CRM
SRI
Risk Limit of Fund
For With Profits funds, what fields need to be completed as mandatory?
SRI and Forecast Annual Returns
Risk Limit of Fund
SRI and Proxy fields
Which of the following applies to "early exit penalties"?
Costs where an investor withdraws before the maturity date / RHP
Costs where the investor withdraws before a pre-agreed date with the investment manager
Costs which apply no matter when the investor withdraws from a fund
Under what circumstances would a client have to assess Credit Risk and provide Credit Quality steps?
If the fund has exposure of >10% in corporate bonds / assets entailing a credit risk
If the fund has exposure of >10% in fixed interest / assets entailing a credit risk
If a fund has exposure of between 25 - 75% in fixed interest / assets entailing a credit risk
Are early exit penalties relevant on a fund or product level?
Fund only
Product only
Fund and Product
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