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CySEC Advanced Exam

This class was created by Brainscape user Costas Constantinou. Visit their profile to learn more about the creator.

By: Costas Constantinou
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Decks in this class (14)

Chapter 1: Scope/ Powers/ Offences
Name the entities which law 87 1 ...,
Name one entity which is exempted...,
Who is responsible to maintain a ...
11  cards
Chapter 2: CIFs
Ctp must make published transacti...,
What is the minimum number of dir...,
Who is responsible for monitoring...
28  cards
Chapter 3: CIFs and Banks
Who is responsible where investme...,
What conditions should be applied...,
What comprehensive information sh...
20  cards
Chapter 4: Open-Ended Undertakings for Collective Investment (UCI) Laws 2016-2016
When should the summarized statem...,
What should the notification sent...,
Where do ucits collect funds from
26  cards
Chapter 5: Alternative Investments
Which employees should the remune...,
When should assets of an aif need...,
What should cysec report for aifs...
16  cards
Chapter 6: Credit Institutions Laws
What is the capital required for ...,
An acquirer should notify cbc and...,
Cbc goes to court for violation o...
9  cards
Chapter 7: The Prevention and Suppression of Money Laundering and Terrorist Financing Laws
Who appoints the assistant compli...,
Give two examples of transactions...,
For how long do banks need to kee...
17  cards
Chapter 8: Markets in Financial Instruments Regulation (MiFIR)
Mifir applies to,
The mifir regulation establishes ...,
What information should be publis...
21  cards
Chapter 9: Capital Adequacy Requirements
What is the purpose of srep,
What is the purpose of icaap,
What are the 5 stages of srep
30  cards
Chapter 10: European market infrastructure regulation (EMIR)
What are the aims of emir,
What are the capital requirements...,
From which requirements are cpps ...
12  cards
Chapter 11: Recovery and Resolution Laws
How often should the recovery pla...,
What are the conditions that the ...,
Who should a cif notify in case o...
11  cards
Chapter 12: Prospectus Law
Where does the prospectus apply,
When it is required to publish a ...,
Which types of securities are exe...
5  cards
Chapter 13: Transparency Laws
For how long should the annual fi...,
When shall issuers disclose their...,
When do the issuers of shares and...
11  cards
Chapter 14: Insider Dealing and Market Manipulation Regulation
What are the conditions which ins...,
In regards to inside information ...,
To which persons does insider dea...
14  cards

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CySEC Advanced Exam

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