Asset Servicing Exam

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CISI Exam Quiz 05 Topics Covers:

understand the reasons for calling a bond holder meeting
understand who is entitled to appoint a proxy and who is eligible to be a proxy for the selected markets
know the different methods of appointing a proxy in selected markets
know the role played by the proxy voting agent, also in relation to Voting Service Providers (VSPs)
know who is entitled to vote for stock lending and repos
know the meaning of a corporate letter of representation
know the purpose of using a proxy to vote
understand the purpose of Section 793 of the Companies Act 2006
understand the purpose of SRD II disclosures
know the definition of a Double Taxation Treaty
understand the use of Double Taxation Treaties and why they are created
know the definition of withholding tax
understand how withholding tax is applied based on the following
understand the advantages and disadvantages of the following tax regimes
understand the reclaim procedures with respect to a UK resident having suffered the maximum withholding tax rate on income generated on investments in Italy
know the life cycle of a tax reclaim
understand the term ‘deduction at source’ and its implications
understand the role of a qualified intermediary
know the implications of the US Foreign Account Tax Compliance Act (FATCA)
know the implications of the US 302 tax
know the implications of the Common Reporting Standard (CRS)
understand the need to provide proof of residency to the fiscal authorities for the purpose of reclaiming tax and btaining relief at source
know the principles of financial transaction taxes
know the role played by the issuer
know the role played by the custodian/sub-custodian
know the role played by the transfer agent/registrar
know the role played by the lead manager
know the role played by the trustee
know the role played by the tender agents
know the role played by the receiving agent

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