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BANCO DE PREGUNTAS PARTE 9

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BANCO DE PREGUNTAS PARTE 9

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PREGUNTAS 81-90

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Trading Con Éxito
Trading Con Éxito
Spain

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BANCO DE PREGUNTAS PARTE 9
 

BANCO DE PREGUNTAS PARTE 9Online version

PREGUNTAS 81-90

by Trading Con Éxito
1

Seleccione la opción correcta, relativa al sistema de clasificación de clientes:

2

Seleccione cuál de las siguientes opciones, relativas a las labores de supervisión e inspección de los mercados españoles es correcta:

3

Según la normativa vigente en materia de prevención del blanqueo de capitales, se consideran sujetos obligados en cuanto al cumplimiento de sus disposiciones a:

4

¿Cuáles de las siguientes opciones se corresponde con una actuación considerada “manipulación del mercado”?

5

En relación a las empresas cuya actividad se centre en la prestación de servicios de inversión, respecto al diseño y comercialización de productos financieros, seleccione la opción correcta:

6

¿Cuál de las siguientes entidades tiene la condición de contraparte elegible, según establece el artículo 203 del Texto Refundido de la Ley del Mercado de Valores?

7

Seleccione la respuesta correcta relativa a las "recomendaciones y advertencias" sobre los riesgos asociados a los instrumentos financieros y estrategias de inversión":

8

Entre otros, se consideran clientes profesionales a:

9

Dentro del concepto "persona del medio político", encontramos a:

10

El organismo encargado de autorizar la creación de empresas de servicios de inversión es:

 
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