eFPMR : Last Minute Revision

Who is accountable for the acts of an MR under Phillip Capital?

• Securities Commission

• Phillip Capital and its board of directors

• Phillip Capital only

• The MR only

Which of the following are capital market participants and intermediaries?

i. Investment Banks

ii. Stock Brokers

iii. Derivatives Brokers

iv. Clearing and depository institutions

• i,and ii

• i, ii, and iii

• ii, and iii

• i, ii, iii, and iv

Which of the choices below are the correct Steps in Creating Profile of Prospects ?

• Define Your Customers > Find Where Your Customers Are > Identify your unique goals & most important features

• Find Where Your Customers Are > Define Your Customers > Identify your unique goals & most important features

• Define Your Customers > Identify your unique goals & most important features > Find Where Your Customers Are

• Identify your unique goals & most important features > Find Where Your Customers Are > Define Your Customers

The basic legal relationship that exists between the principal and the agent is...

• Contract of Agency

• Contract of Employment

• Contract of Service

• Contract of Carriage

Which of the following are collective investment schemes :

i. Shares

ii. Bonds

iii. Derivatives

iv. Unit Trust

v. ETF

• i and ii

• iii and iv

• iv and v

• All of the above

Which of the following markets comprises of "debt instruments"?

• The Stock Market

• The Bond Market

• The Derivatives Market

• The Commodity Market

What are the 3 stages of money laundering?

• Placement > Integration > Layering

• Layering > Placement > Integration

• Integration > Layering > Placement

• Placement > Layering > Integration

Which of below are high risk customers?

• Non-resident customers

• Customers from locations with high crime rate

• PEPs and persons/companies related to them

• All of the above

Main Roles of Bursa Malaysia Securities Berhad (BMSB) are the following EXCEPT

• The provision, operation and maintenance of a securities exchange

• Registered electronic facility for secondary bond market

• Disseminate prices and other information relating to securities quoted on exchanges within the group and nominee services for the central depository’s safe-keeping

• Review and endorse relevant documents to ensure compliance with applicable Shariah principles and rulings made by the SAC from time to time

Which of the following are the functions of the Securities Commission :

• Regulate all matters relating to the capital market

• Regulate the take-overs and mergers of companies

• Promote and regulate all matters relating to fund management, including unit trust schemes and private retirement schemes

• Be responsible for supervising and monitoring the activities of any exchange holding company, stock exchange, derivatives exchange clearing house and central depository

• All of the above