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Question 1
Under the Securities Industry Act, 2016 (Act 929), which body is established as the apex regulatory authority for the securities industry in Ghana?
Correct Answer:
The Securities and Exchange Commission (SEC)
Question 2
Which of the following is a statutory function of the Securities and Exchange Commission (SEC) under Act 929?
Correct Answer:
To approve the listing of corporate debt and equity securities on a licensed stock exchange
Question 3
How many commissioners sit on the governing board of the Securities and Exchange Commission (SEC) of Ghana under the Securities Industry Act, 2016 (Act 929)?
Correct Answer:
Eleven commissioners
Question 4
Under Act 929, what is the maximum duration of a license issued by the SEC to a market operator before it must be renewed?
Correct Answer:
One year
Question 5
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?
Correct Answer:
4,500 penalty units
Question 1
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About this Exam

Prepare with the GISI ADO Level Practice Questions - GISI Securities Course Legal & Professional ADO Level Exam practice quiz. This question bank includes 100 questions covering securities, companies, company, industry, and market. Use it to review important concepts, identify knowledge gaps, and build confidence for the related exam, course, or assessment.

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

This practice set contains 100 questions from the matching question bank and focuses on securities, companies, company, industry, and market. Work through each question carefully, review the provided solutions, and revisit topics that need more study before your next attempt.

This is an independent study resource intended for practice and review; it is not an official examination or an endorsement by any organization named in the title.

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