Kuwait Rules and Regulations Exam – Quiz 09

Last Updated: June 2024

Table of Contents

CISI Exam Quiz 09 Topics Covers:

know the aims of the Authority
know the scope of the Authority’s activities
know the composition and competencies of the Disciplinary Board
know the composition and competencies of the Complaints and Grievances Committee
know the composition and competencies of the Advisory Board of the Authority
know the composition and competencies of the Advisory Council for Sharia Supervision
know the Authority’s right to request information and commission special reports
know the Authority’s activities in relation to supervision and inspection
know the role of the Judicial Officer
know the penalties for the misuse of inside information
know the penalties for non-compliance with obligations relating to disclosure and transparency
know the penalties for misleading trading activities
know the penalties for non-compliance with obligations relating to acquisitions and minority interests
know the penalties for non-compliance with obligations relating to undisclosed interests
making a public offering or any other transaction in violation of the provisions of the Law and the Executive Bylaws
know the conditions for the submission for reporting suspected crimes or violations
know the protections available to whistleblowers
know the rules governing an investigation into suspected crimes or violations
know the range of penalties available to the Disciplinary Board
know the obligations a Securities Exchange must fulfil
know the type of matters that a Securities Exchange must immediately inform the Authority about
know the role of the Violations Committee
know the activities undertaken by licensed clearing agencies
know the obligations a clearing agency must abide by
know the type of matters that a clearing agency must immediately inform the Authority about
know the penalty the clearing agency may impose for noncompliance of any dealer
understand which security activities require a license from the Authority
know the actions related to the license that a Licensed Person can take
understand the circumstances under which the Authority may revoke or restrict the license of a Licensed Person
know how Licensed Persons operate in accordance with Sharia

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