1. According to "Guidelines for Information specific pathogen free of Securities Companies", in the establishment and implementation of information specific pathogen free, the following specific division of responsibilities is wrong ().
A. The board of directors and the main person in charge of operation and management of a securities company are the ultimate responsible persons for the overall effectiveness of the company's information isolation wall system.
B the heads of all business departments and branches are responsible for managing the effectiveness of the information wall system implemented by their own departments and institutions.
C. The staff of securities companies are directly responsible for observing the information isolation system in their practice activities.
D. The Board of Supervisors is responsible for assisting the Board of Directors and the management to establish relevant systems of information isolation wall, and is responsible for review, supervision, inspection, consultation and training.
Answer d
According to the Guidelines on Information Barrier System of Securities Companies, the Compliance Director and Compliance Department are responsible for assisting the board of directors and management to establish information barrier related systems, and are responsible for review, supervision, inspection, consultation and training.
The second question of the securities qualification examination question bank:
2. After the listing and trading of corporate bonds, if the company fails to fulfill its obligations in accordance with the Measures for Raising Corporate Bonds, it shall be decided by the stock exchange ().
A. Warn its corporate bond trading of delisting risks.
B. Suspend the listing and trading of its corporate bonds
C. terminate the listing and trading of its corporate bonds.
D. make special treatment for its corporate bond transactions.
Answer b
After analyzing the listing and trading of corporate bonds, the stock exchange will decide to suspend the listing and trading of corporate bonds if the company has one of the following circumstances: ① the company has committed major illegal acts; ②
Significant changes have taken place in the company's situation, which does not meet the conditions for listing corporate bonds; ③ The funds raised by issuing corporate bonds are not used in accordance with the approved purposes; (4) Failing to fulfill its obligations in accordance with the measures for raising corporate bonds. ⑤ The company has suffered losses continuously in the last two years.
The third question of the securities qualification examination question bank:
3. In (), a person who contacts an insider and engages in or explicitly implies that others engage in securities trading related to insider information, without justifiable reasons or proper information sources, and his trading behavior is abnormal, belongs to a person who illegally obtains insider information of securities and futures trading.
A. After the inside information is disclosed in the newspaper designated by China Securities Regulatory Commission.
B. After the inside information is disclosed on the website designated by China Securities Regulatory Commission,
C. During the sensitive period of inside information
D. when the inside information has not been formed.
Answer c
According to Article 2 of the Interpretation of the Supreme People's Court and the Supreme People's Procuratorate on Several Issues Concerning the Specific Application of Laws in Handling Insider Trading and Disclosure of Insider Information, ① obtaining insider information by means of stealing, cheating, cheating, eavesdropping, inducements, spying or private transactions; (2) A close relative of an insider or other person closely related to the insider engages in, explicitly or implicitly engages in, or divulges insider information to cause others to engage in securities and futures trading related to the insider information during the sensitive period of insider information, and the relevant trading behavior is obviously abnormal without justifiable reasons or legal sources of information.
The fourth question of the securities qualification examination question bank:
4. The following statement about the basic requirements of customer identification of securities companies is wrong ().
A. A securities company shall not provide services or conduct transactions to unidentified customers.
B. A securities company shall not open a false name account for its customers.
C. Considering the special needs of customers, securities companies can open anonymous accounts for customers.
D. If a client handles business on his behalf, the securities company shall simultaneously check and register the identity documents or other identification documents of the agent and the principal.
Answer c
Analysis of item C, the securities company shall not provide services or conduct transactions for unidentified customers, and shall not open anonymous accounts or pseudonymous accounts for customers.
The fifth question of the securities qualification examination question bank:
5. In the following basic requirements on the governance of securities companies, the statement that the legitimate rights and interests of customers shall not be infringed is incorrect ().
A. Securities companies shall not misappropriate customers' transaction settlement funds.
B. Securities companies shall not misappropriate assets entrusted by customers.
C. A securities company may misappropriate the securities entrusted by customers in the company according to the actual situation.
The shareholders and actual controllers of a securities company shall not occupy the assets of customers and damage the legitimate rights and interests of customers.
Answer c
According to the Regulation on the Supervision and Administration of Securities Companies and the Securities Law, a securities company shall not infringe upon the legitimate rights and interests of its customers or misappropriate the securities entrusted by its customers.
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