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Test on the Compliance Induction / Refresher Training 2024

When you are in possession of inside information / private side employee / being wall crossed, you must NOT:

A. Trade any of the relevant company’s securities (including bonds and derivatives)

B. Advise on the relevant company’s securities

C. Encourage others to deal in the relevant company’s securities

D. Share the information with friends outside BOSCI.

E. All of the above

Which of the following statement(s) are correct? i. A client connected with non-Hong Kong PEPs must be high riskii. A client connected with Hong Kong PEPs may be of neutral riskiii. PEPs generally do NOT include middle-ranking or more junior officials iv. For high risk clients, Enhanced Client Due Diligence (EDD) must be carried out to mitigate the risk.

A. (i) and (ii) only

B. (i), (ii), (iii) only

C. (ii), (iii), (iv) only

D. (i), (ii), (iii) and (iv)

Which of the following are the requirement for the certifier when certifying a copy document?i. The certifier must sign and date the copy ii. The certifier must print their name clearly in capital letters underneath the signature.iii. The certifier must clearly indicate their position or capacity on the iv. The certifier must state that the copy document is an exact replica of the original.

A. (i) and (ii) only

B. (i), (ii), (iii) only

C. (ii), (iii), (iv) only

D. All of the above

Which of the following statement(s) are correct?

A. Employees are required to disclose outside business interests and directorships upon joining the Company

B. Employees intending to engage in the business of, or hold directorship in, a company outside must seek prior approval from the senior management and Compliance

C. Personal activities outside of the Company should NOT reflect adversely on the Company and should not suggest a possible conflict of interest.

D. All of the above

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