Qatar Financial Markets Authority Regulations Exam

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CISI – Qatar Financial Markets Authority Regulations Quiz 5 is covered –
ELEMENT 2
CONDUCT OF BUSINESS:
Information made available by a Company to a client – (1-8)
Information made available by a Company to a client – Know the deadline for reporting transactions to a client
Information made available by a Company to a client – Know the requirements relating to client statements (Article 54) & (Article 55) • Frequency • Cost • Content
Information made available by a Company to a client – Know the essential information relating to Investment Management controls that must be included in an Investment Management agreement
Information made available by a Company to a client – Know the appropriate notification period for cancelling Investment Management agreements

Information made available by a client to a Company – (9-20 )
Information made available by a client to a Company – Know the correct client account opening procedures • Required information (Article 56) • Required documentation (Article 57) • Legal persons/ Natural persons (Article 57) • Minors (Article 58) • Power of attorney (Article 60) • Non- state residents
Information made available by a client to a Company – Understand how clients account information is verified and maintained • Internal sign off (Article 62) • “Appropriate procedures” (Article 63) • Customer due diligence measures and ongoing monitoring (AML/CFT Chapter 4) • Closed accounts

ELEMENT 3
INTERNAL CONTROLS:
Compliance Officer – (21-30 )
Compliance Officer – Know the responsibilities of the Compliance Officer

By Exam Team | CISIExam

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