RE5 Topic 6 Quiz 1
RE5 Topic 6 Quiz 1
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Question 1 of 5
1. Question
Select the incorrect option. The supervision agreement must include which of the following?
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Question 2 of 5
2. Question
Choose the incorrect option. As per the exemption notice, a representative can be placed under supervision in which of the following instances?
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Question 3 of 5
3. Question
Tabo Investments provides face to face advice in respect of unit trusts. Which of the following competency requirements must a representative that never has been appointed as representative before meet before Tabo Investments may appoint the person as a representative?
- i. Grade 10 certificate
- ii. Grade 12 certificate
- iii. Recognised Qualification
- iv. Product Specific training
- v. Class of business training
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Question 4 of 5
4. Question
Jane Seno was appointed on 1 February 2012 as representative for Big Bank working under supervision. In March 2014 she moved to City Bank to also work as representative. Until when does Jane have to complete her recognised qualification?
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Question 5 of 5
5. Question
Tony has been appointed a supervised representative in Category I Collective Investment Schemes on 1 January 20XX. Tony meets all the qualification requirements. What must the FSP do after a period of one year in this regard?
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