الصفحة الرئيسية └قوانين ولوائح هيئة أسواق المال E └Assessment

قوانين ولوائح هيئة أسواق المال E

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محتوى الدورة

Assessment

10 XP
1.0
1. Which of the following is not an activity a collective investment scheme may undertake?
Accept funds via Wakala Extend credit Invest in foreign shares Accept deposits
2. Which of the following is exempt from the fact that Licensed Persons must not accept cash payments from clients for investment purposes?
Payment made by unrelated third party Payment of KD 1,000 or less Non-refundable fees Periodical fees
3. Fraud and manipulation occurs in two ways, one of which is when transaction(s) are undertaken with the intention to increase or reduce the price of the security, either directly or indirectly. In this case, a criminal offense occurs in which of the following?
4. Funds need to be managed by an executive committee comprising of employees of the fund. What proportion of members of the committee need to be registered persons?
0% 25% 66% 100%
5. Information is insider information if it is not available to the public and would have a significant effect on the share price if it were made public. In this context, which one of the following is a category of insiders
Risk managers Members of the Board of Directors Compliance officers Auditors
6. Which of the following is not a type of fund included in the regulations?
Commodity fund Equity fund Real estate fund Fund of funds
المدرّبون

باتريك مهدي

معلومات إضافية

شهادة حضور

اللغة: English (US)

المدّة: 13 ساعة 40 دقيقة

مقدمة عن البرنامج

Seattle International Institute for Training (certified by CISI) presents "Kuwait Capital Markets Authority Rules and Regulations". This program offers 12 units included in "Kuwait Capital Markets Authority Rules and Regulations" study material created by the Charted Institute for Securities & Investments. The program was developed with representatives from leading global financial services organizations, both capital markets, wholesale, and retail.


·         Know the aims of the Authority

·         Know the scope of the Authority's activities

·         Understand what registered employment positions are required to be registered with the Authority

·         Understand risks relating to: credit risk, market risk, liquidity risk, and operational risk

·         Know the regulations relating to clients' complaints

·         Know the Licensed Person's reporting obligation to: clients; the Authority


1.      Regulatory Structure

2.      Securities Exchanges and Clearing Agencies

3.      Licensed Persons and Registered Persons

4.      Client Funds and Client Assets

5.      Conduct of business

6.      Mergers and Acquisitions

7.      Disclosure and Transparency

8.      Dealing in Securities

9.      Listing Rules

10. Collective Investment Schemes

11. Market Integrity

12. Corporate Governance 


 An online course that you can attend at any time that suits you with high quality. -

- To complete the rest of the course, kindly click on Join the course at the top of the screen or subscribe.

- After completing the course and attending it completely, a window will appear, write your name in both Arabic and English, and you will get the certificate directly.

- Certifications are accredited. Issued by the signature of the trainer and the management of the center.


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