Qwissit Stock Market

Stock Market Basics

Investor Protection and Regulation

12 of 60 questions in the app

Supervision

  1. Which authority supervises banks, insurers and securities trading in Germany? Easy

Safety of deposits and securities

  1. Up to what amount are deposits per customer and bank protected by law in the EU? Easy
  2. What happens to the shares in a securities account if the custodian bank becomes insolvent? Easy

Investor protection in sales

  1. What must a bank check before making a recommendation in investment advice? Easy
  2. What does a retail client receive after investment advice before the order is executed? Easy
  3. What must a bank inform retail clients about before a securities transaction? Easy

Market abuse

  1. What is insider trading? Easy
  2. Which behaviour constitutes prohibited market manipulation? Easy

Investor protection in sales

  1. Which statements about the review obligations of investment firms under MiFID II are correct? Medium
  2. Which financial instruments are generally considered non-complex under MiFID II? Medium

Market abuse

  1. An employee of Muster AG learns of a still-secret takeover in a meeting. In the evening, the employee buys shares in the takeover target and advises a friend to buy too. Which statements are correct? Hard
  2. A shareholder reads the ad hoc announcement of a takeover offer at 14:05 and buys more shares at 14:10. Which statement is correct? Hard

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