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قوانين ولوائح هيئة أسواق المال E

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قوانين ولوائح هيئة أسواق المال E

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Assessment

1. Which of the following results in an exemption from the requirement to place client funds in a separate and independent account opened with a local bank?
The client is a foreign entity The funds originate from a different country Settlement takes place in a foreign market Securities are from a foreign issuer listed in Kuwait
2. Which of the following best describes a secondary default event?
Limitation imposed by the Authority related to holding client funds Financial disorder of a third party holding funds of a Licensed Person Securities issuer’s inability to fulfil an obligation on the due date Pooling of client assets in an independent account
3. Fees and commissions charged by a Licensed Person for the management of an investment portfolio need to be:
flat fees disregarding the profitability related to the establishment of an investment portfolio paid only in the event the portfolio is profitable reasonable and consistent with the nature of the services
4. Which of the following controls apply to investment portfolios?
Access to the location where the portfolio is managed is open to all employees The portfolio continues to be managed upon death or inheritance until heirs are determined Investment decision making and order execution need to be undertaken by the same person The account will be closed upon disbursement to all heirs
5. In relation to securities activities, the term ‘client assets’ is best described as which of the following?
All cash monies held on behalf of a client Funds designated to cover actual obligations by the client Funds designated to cover contingent obligations by the client All non-cash money, securities and other assets held on behalf of a client
6. Which one of the following is a control that needs to be considered while establishing an investment portfolio?
Variety controls Variance controls Settlement controls Capital contribution controls
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