regulation-of-financial-markets-past-papers
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UPLOADED BY Unknown
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DATE 06 Dec 2025
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SIZE 1.14 MB
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notes
About This Document
Document Type: This is a Exam Paper, designed for Testing knowledge and exam technique.
Context: Standard material from the 2025 academic period.
Key Content: Likely covers essential definitions, structured questions to test your proficiency.
Study Strategy: Attempt these questions under timed conditions to simulate a real exam environment, then check against your notes.
Recommendation: comprehensive resource for students aiming to achieve top grades in their final assessments.
Detailed Content Overview
Introduction
This notes resource titled "regulation-of-financial-markets-past-papers" provides comprehensive exam preparation materials designed to test and enhance your understanding. This resource is structured to facilitate effective learning and retention of important information.
Key Topics Covered
Learning Objectives
- Master key concepts required for examination success
- Practice answering exam-style questions effectively
- Develop time management skills for timed assessments
- Identify and address knowledge gaps in understanding
Detailed Summary
CIFA FOUNDATION LEVEL REGULATION OF FINANCIAL MARKETS TUESDAY: 19 August 2025. This paper consists of seven (7) questions. ALL questions carry equal marks. Do NOT write anything on this paper. QUESTION ONE (a) Outline FOUR unique requirements for authorisation, clearing and settlement operation that derivatives exchange has to meet. (4 marks) Highlight FOUR details that a venture capital company must furnish the Capital Markets Authority in its application for authorisation as a venture capital firm. (4 marks) (c) The Capital Markets Authority mandates intermediaries to have internal complaint-handling processes under the Capital Markets (Conduct of Business) Regulations. QUESTION TWO (a) The Central Depository is mandated to generate and maintain a ledger balance report for all securities accounts. Required: Identify THREE types of information included in this report. (3 marks) (b) In the context of anti-money laundering, outline FIVE benefits of conducting Enhanced Due Diligence (EDD). (5 marks) (c) Under the Sacco Societies Act, the Sacco Societies Regulatory Authority (SASRA) is established as the primary regulatory body for Sacco societies.
Study Tips & Recommendations
Time Management
Practice under timed conditions to improve speed and accuracy. Allocate specific time limits to each section.
Active Practice
Attempt all questions before checking answers. Review mistakes to understand where improvements are needed.
Mark Scheme Review
Study marking schemes carefully to understand how examiners award points and structure your answers accordingly.
Regular Review
Schedule periodic reviews to reinforce learning and combat forgetting. Use spaced repetition for optimal retention.
Content Preview
CIFA FOUNDATION LEVEL REGULATION OF FINANCIAL MARKETS TUESDAY: 19 August 2025. Morning Paper. Time Allowed: 3 hours. This paper consists of seven (7) questions. Answer any FIVE questions. ALL questions carry equal marks. Do NOT write anything on this paper. QUESTION ONE (a) Outline FOUR unique requirements for authorisation, clearing and settlement operation that derivatives exchange has to meet. (4 marks) Highlight FOUR details that a venture capital company must furnish the Capital Markets Aut...
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