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قوانين ولوائح هيئة أسواق المال E

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قوانين ولوائح هيئة أسواق المال E

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السابق التالي
ملء الشاشة مشاركة

Assessment

1. Which of the following is NOT a component of the agreement for services provided to a client?
Fees charged Profile of the Licensed Person Services provided Conditions of services
2. Licensed Persons need to ensure financial promotions are:
guiding towards the decision clear and not misleading based on expected future performance generic
3. Avoiding conflicts of interest is the responsibility of which of the following?
Professional client Investment manager Authority Licensed Person
4. At which point in time must the Licensed Person provide a client with conditions of services?
Prior to providing any services On the date services commence Within one week after services commence Within one month after services commence
5. Which of the following is a criteria to be assessed as a professional client by nature?
Holding funds and assets of at least KD 100,000 Professional position in the financial services sector for at least one year Minimum paid-up capital of KD 500,000 or equivalent International institution
6. Reports containing details of all securities investment portfolios under the control of the Licensed Person need to be submitted to the Authority quarterly and within how many working days from the end of the quarter?
10 15 20 30
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