0 of 50 questions completed
You have already completed the mock exam before. Hence you can not start it again.
Mock Exam is loading…
You must sign in or sign up to start the mock exam.
You must first complete the following:
0 of 50 questions answered correctly
Time has elapsed
You have reached 0 of 0 point(s), (0)
Earned Point(s): 0 of 0, (0)
0 Essay(s) Pending (Possible Point(s): 0)
In relation to publicizing personal transactions of managers and related persons, one of the below is not obliged to publish his personal transactions:
A person responsible to update the insider list of an issuer, might face a fine of up to _______________________, if he did not update the list
In relation to UCITS, one of the below is not true:
Which of the below statements is true: When investing, a UCITS cannot:
In the process of obtaining a license for a UCITS, CySEC needs to reply:
In the case of a violation of obligations of a depository that led to the loss of investors funds which owned units of a UCITS, then the liability of this violation falls on which of the following?
The main difference between a common fund and a VCIC which fall under UCITS law, is that:
In relation to a VCIC, if the difference between the exchange price of the shares and the net value of the shares is more than 5%, then:
If a company managing a UCITS stops its activities for _____ months, it license will be revoked.
The minimum capital required by a management company managing a UCITS is?
In relation to an externally managed AIF with portfolio of less than 250 million euros, the minimum required capital is?
In an AIF, the responsible body/person for setting and reviewing staff remuneration is?
In the case a management company managing an AIF, the annual report should include all of the following except?
The annual report submittted to CySEC by an AIF management company must be sent within what time frame?
In the case where an AIFM delegates one of its functions to a 3rd party and that 3rd part sub-delegates it to a 4th party, given the competent authorities were notified, then who is the responsible for the AIF and the investors?
An AIFM licensed in the republic must inform CySEC of changes to its voting rights when it acquires a non-listed company, within 10 working days; given the voting rights crossed which of the following levels?
When dealing with clients, any transaction which is larger than _____ , the company should apply additional due dilligence.
In case of a person failing to comply with the part of the law related to AML, such as failing to report suspicious transactions, or not providing training to employees, etc.. may be subject to a fine:
Issuers without listed equity will be deemed an SME if, according to their last annual or consolidated accounts, they meet which of the following criteria
Layering and Spoofing can be defined as:
Quote stuffing is defined as:
In the process of establishing a relationship with a client, the CIF should collect all necessary information to what extent?
With regards to conducting a suitability test, a company cannot decide on which individual to apply the suitability test because the account is a joint account, in this case the suitability test can be done on?
When providing investment advice to clients, records should be kept showing which of the following?
AlphaCap UCIT a regulated UCIT in Cyprus has wants to market and sell its units in Belgium, what information regarding the units should be translated in French language, given that the offical language in Belgium in French?
Margo wnats to increase the % number of shares he holds in a company which gives him voting rights from 2.25 % to 4.5% in the 1st quarter. He then decides to double it again in the 2nd quarter to 9%, this pattern of also continued with 18% in the 3rd Quarter and again to 36% in the 4th Quarter. Which of the following applies?
A financial transaction was carried out by a CIF for one of its clients. What is the minimum period that records of this transaction must be normally held?
Potential clients of a firm MUST be provided with what comprehensive information?
Of the following combinations of directorships, which would be acceptable for the board of directors of a CIF?
A central counterparty (CCP) MUST publicly disclose which of the following?
Firm A receives an instruction to provide investment services on behalf of a client from Firm B. Firm A then:
If a customer opening an account with a firm lives far away from the bank involved, then:
CySEC is responsible for ensuring which of the following, with regards to the provision of investment services by authorised firms?
Bank ABC monitors the potential for money laundering by its clients; however the degree to which they monitor varies. To be compliant with regulations, the primary factor which influences this variation should be?
An AIFM must have the ability to reconstruct any transactions involving an AIF according to its:
An AIFM that is responsible for multiple AIFs is required to maintain, with regards to liquidity management which of the following?
People who produce or disseminate investment recmmendations must disclose which of the following:
Law 87(I)/2017 only applies to third country firms if they:
CySEC must ensure that any individual acting on behalf of a CIF is:
In order for a master UCITS to have the ability to raise capital from other investors, it must have at LEAST how may feeder UCITS?
Which of the below conditions should be met before a CIF can enter into an outsource agreement?
When a CIF or IF wishes to establish a branch in Cyprus, they need to?
A CIF authorization can lapse within _____ months if the company does not use its authorization.
All CIF licenses revoked by CySEC should be reported to?
A CIF must inform CySEC of all shareholders who have a qualifying holding by?
In the eyes of the law, which of the below qualifies as a professional client?
A tied agent cannot?
The minimum capital requirements for a regulated market is?
Banks need to submit to the CBC their intent to outsource an investment or an ancillary service within:
In relation to Banks authorized in Cyprus, any recommendation that does not qualify as investment research will be treated as?