GISI ADO Level Practice Questions - GISI Securities Course Legal & Professional ADO Level Exam

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Under the Securities Industry Act, 2016 (Act 929), what is the administrative penalty for a person who carries on a regulated capital market activity (such as a broker-dealer) without a valid license?

1,000 penalty units 4,500 penalty units 500 penalty units 10,000 penalty units

Correct Answer:

4,500 penalty units

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