Question 24 of 50

According to the Law 87(I)/2017, within how many months of a complete application must CySEC inform an applicant for a CIF authorisation whether it has been successful?

Under what circumstance may a CIF undertake services or activities outside its authorisation?

If a CIF has not provided investment services or performed investment activities for a specific period, its authorisation may be withdrawn. What is this period?

When a CIF renounces its authorisation, what is it required to do regarding customer complaints or grievances?

What is the maximum number of directorships a member of the board of a significant CIF can hold, if they hold one executive directorship?

According to the rules on governance, what is the role of the chairman of the board of directors in relation to the CEO position?

What is the minimum frequency for senior management of a CIF to receive written reports on compliance, risk management, and internal audit?

What is the timeframe within which CySEC approves the appointment of a tied agent?

Which document must a project owner issue for a CIF to accept a crowdfunding project on its platform?

What is the minimum validity period (issue to expiry) for a binary option to be exempt from the marketing and selling restrictions to private clients?

For an issuer with shares admitted to trading for between one and two years, what is used as the basis for calculating its market capitalisation to be deemed an SME?

What is the maximum annual net turnover an issuer without listed equity can have to meet one of the criteria to be deemed an SME?

A market may apply to be an SME growth market if what percentage of the issuers admitted to trading are SMEs?

For how many consecutive calendar years must the proportion of SMEs on an SME growth market fall below 50 percent for it to be deregistered by CySEC?

CySEC may withdraw the authorisation of a regulated market if it does not make use of its authorisation within what period from the date of issue?

Which of the following is considered a signal of 'disorderly trading conditions' that operators of trading venues should be aware of?

What is the market manipulation technique known as 'layering and spoofing'?

When a regulated market permits direct electronic access, what must it ensure regarding the member or participant?

If a financial instrument is admitted to trading on a regulated market without the issuer's consent, what is the issuer's obligation to that market?

What is the latest that an Approved Reporting Mechanism (ARM) must report transaction information?

What is the minimum notice period that an APA or CTP must provide for future price changes for their market data services?

What must a CIF publish on any official documents regarding its authorisation status?

If a CIF's arrangements to manage conflicts of interest are deemed insufficient, what must it do?

For a CIF that is significant in terms of its size and complexity, what committee must it appoint composed of non-executive board members?

What is one of the duties of the nomination committee in a significant CIF?

Who remains fully and unconditionally responsible for any action or omission on the part of a tied agent?

When a CIF acts as a crowdfunding service provider, what is it NOT allowed to do to avoid conflicts of interest?

Under the crowdfunding rules, when should a CIF transfer the money raised to the project owner?

Which of the following conditions must be met for the restrictions on CFDs sold to private clients NOT to be applicable?

What is the market capitalisation threshold below which issuers are deemed to be an SME for the purposes of SME Growth Markets?

An issuer without listed equity must meet at least two of three criteria to be deemed an SME. Which of the following is NOT one of those criteria?

An MTF seeking to be registered as an SME Growth Market must require issuers to publish annual financial reports within what period after the end of each financial year?

How long must an SME growth market make regulatory information, such as admission documents and financial reports, available on its website?

What is the timeframe within which CySEC must inform a market operator of its decision regarding an application for regulated market authorisation?

Which of the following is NOT listed as a signal of a 'system disruption' for a trading venue?

The market manipulation technique of entering large numbers of orders and/or cancellations to create uncertainty and slow down other participants is known as what?

What can a regulated market do to manage disorderly trading conditions that may arise from algorithmic trading systems?

When a regulated market intends to provide remote participation from other member states, what must it do?

Which of the following must CIFs and market operators immediately inform CySEC of?

A market operator may operate the data reporting services of an APA, ARM, or CTP, provided what condition is met?

According to the rules on market data provision, how should the price of market data be determined by APAs and CTPs?

In what situation might an APA or CTP decide NOT to make data available on a per-user fee basis?

What does the rule on 'Unbundling and disaggregating market share' for APAs and CTPs mean?

What happens if a CIF fails to comply with a deadline set by CySEC after its authorisation has been suspended?

Which of the following directorship combinations held at the same time is PERMITTED for a member of the board of a significant CIF?

For the purpose of calculating an SME's market capitalisation, what is the base price for an issuer that has been trading for between two and three years?

What is the minimum content that a Consolidated Tape Provider (CTP) must make available free of charge within 15 minutes after publication?

If a CIF has received authorisation based on false or misleading information, what action may CySEC take?

What is considered a 'single directorship' for the purposes of the directorship limits for board members of significant CIFs?