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Kuwait Capital Markets Authority Rules and Regulations E

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Kuwait Capital Markets Authority Rules and Regulations E

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Assessment

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. 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%
4. 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
5. Which of the following is not a type of fund included in the regulations?
Commodity fund Equity fund Real estate fund Fund of funds


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