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Kuwait Capital Markets Authority Rules and Regulations E

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Assessment

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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
Instructors

Mr. Patrick Mahdi

- University of Limerick, Ireland - Bachelor of Business Studies & Japanese - Awarded by the Chartered Institute for Securities and Investment (CISI): Kuwait Capital Market Authority Rules & Regulations - CFA Institute - Investment Foundations Certificate - Awarded by the Chartered Insurance Institute (CII): Advanced Financial Planning Certificate - International Finance Trainer - Head of Islamic Wealth, Holborn Assets, UAE

Additional Information

Attendance Certificate

 Language: English (US)

 duration: 13 hours 40 minutes

Introduction

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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