Global Regulatory Framework – Multiple Choice Questions 11

What is the main purpose of global financial regulation?

• To increase firm profits

• To protect investors

• To lower taxes

• To raise capital

Which body oversees securities regulation in the U.S.?

• FCA

• BIS

• IOSCO

• SEC

What does FATF focus on?

• Trade execution

• Investment analysis

• AML and CFT standards

What is the role of the FCA in the UK?

• Issuing government bonds

• Overseeing monetary policy

• Client protection and conduct rules

• Managing public debt

Which regulation created a single-rule book across the EU?

• AIFMD

• UCITS

• MiFID II

• GDPR

Which of the following is a core COBS obligation?

• Fee optimization

• Acting honestly

• Product advertising

• Client acquisition

What is a common feature of single-line investments?

• High control

• Low risk

• High diversification

• Stable returns

What makes collective investment vehicles attractive for retail clients?

• Tax deferral

• Professional management

• No regulation

• Absolute control

What principle allows flexible regulation based on country capacity?

• Proportionality

• Harmonization

• Delegation

• Standardization

What is a UCITS fund?

• A. A private loan

• B. A regulated mutual fund

• C. A government bond

• D. A direct investment