CySec Two

cysec-two

Exit

Question 1 of 1

Time Left

192943

120

block

CIFs are allowed to provide professional investment services in the Republic as soon as they have

Select the correct answer(s).

(0/0)

192944

120

none

One of the main concerns from a regulatory perspective are conflicts of interest between

Select the correct answer(s).

(0/0)

192945

120

none

Professional clients who are large undertakings must have a balance sheet total of at least

Select the correct answer(s).

(0/0)

192946

120

none

An eligible counterparty is

Select the correct answer(s).

(0/0)

192947

120

none

Once CySEC has withdrawn the authorisation of a regulated market, it needs to cease operating as a regulated market and settle all obligations within a period of

Select the correct answer(s).

(0/0)

192948

120

none

When authorising a CIF for a subsidiary of an institution authorised in another member state, CySEC will

Select the correct answer(s).

(0/0)

192949

120

none

A CIF’s procedures, processes and arrangements for organisational requirements need to be

Select the correct answer(s).

(0/0)

192950

120

none

The authorisation of a CIF will lapse if the CIF has not used its authorisation within

Select the correct answer(s).

(0/0)

192951

120

none

In case there is suspicion of alleged violation of Law 144(I) and/or the EU directives, CySEC may (partially) suspend a CIF authorisation for a period of up to

Select the correct answer(s).

(0/0)

192952

120

none

A CIF must provide clients and potential clients with information about its services, that is:

Select the correct answer(s).

(0/0)

192953

120

none

When a CIF receives instructions from a third party for investment services on behalf of another authorised institution, it:

Select the correct answer(s).

(0/0)

192954

120

none

Best execution is best defined as the responsibility of the financial institution to provide:

Select the correct answer(s).

(0/0)

192955

120

none

A person who sells products of only one investment firm is generally known as a

Select the correct answer(s).

(0/0)

192956

120

none

CySec Two

Question 1 of 1

Time Left

CIFs are allowed to provide professional investment services in the Republic as soon as they have

Select the correct answer(s).

(0/0)

One of the main concerns from a regulatory perspective are conflicts of interest between

Select the correct answer(s).

(0/0)

Professional clients who are large undertakings must have a balance sheet total of at least

Select the correct answer(s).

(0/0)

An eligible counterparty is

Select the correct answer(s).

(0/0)

Once CySEC has withdrawn the authorisation of a regulated market, it needs to cease operating as a regulated market and settle all obligations within a period of

Select the correct answer(s).

(0/0)

When authorising a CIF for a subsidiary of an institution authorised in another member state, CySEC will

Select the correct answer(s).

(0/0)

A CIF’s procedures, processes and arrangements for organisational requirements need to be

Select the correct answer(s).

(0/0)

The authorisation of a CIF will lapse if the CIF has not used its authorisation within

Select the correct answer(s).

(0/0)

In case there is suspicion of alleged violation of Law 144(I) and/or the EU directives, CySEC may (partially) suspend a CIF authorisation for a period of up to

Select the correct answer(s).

(0/0)

A CIF must provide clients and potential clients with information about its services, that is:

Select the correct answer(s).

(0/0)

When a CIF receives instructions from a third party for investment services on behalf of another authorised institution, it:

Select the correct answer(s).

(0/0)

Best execution is best defined as the responsibility of the financial institution to provide:

Select the correct answer(s).

(0/0)

A person who sells products of only one investment firm is generally known as a

Select the correct answer(s).

(0/0)

CIF need to keep records of all financial transactions for a period of at least:

Select the correct answer(s).

(0/0)

Financial instruments can be admitted to trading on multiple regulated markets

Select the correct answer(s).

(0/0)

Results

Correct

0

Incorrect

0

Skipped

0

Overall Percentage

0%

Rate Quiz