Probihited conducts in CMSA 2007
Test Your Knowledge on Prohibited Conducts in CMSA 2007
Welcome to the ultimate quiz designed to evaluate your understanding of the prohibited conducts outlined in the CMSA 2007. This quiz consists of 10 carefully crafted multiple-choice questions that will challenge your knowledge and awareness regarding private retirement schemes and related misconduct.
Are you ready to put your expertise to the test? Here’s what you can expect:
- Engaging and informative questions
- Instant feedback on your answers
- Deepen your understanding of CMSA regulations
1. All of the following are prohibited conducts of Private Retirement Scheme (PRS) except...
A. Providing discounts and rebates in any form
B. Providing gifts to entice investors to invest
C. Make negative statements to cause damage to the reputation of others in the industry
D. Accept payments under PRS Provider's name
E. Requesting investors to pre-sign any form relating to their investment.
2. All of the following are prohibited conducts FIMM except
A. Providing discounts and rebates in any form.
B. Requesting or allowing investors to pre-sign any form relating to their investment.
C. Providing gifts to entice investors to invest.
D. Deal in PRS with an approved prospectus.
E. Inducing client to invest into PRS that is not consistent with the financial goals and risk tolerance of the customer.
3. "Matching transactions where the buyer and the seller are the same." The statement refers to which of the following misconduct under the CMSA 2007?
A. False trading and Market Rigging
B. Stock Market Manipulation
C. Insider Trading
D. False and Misleading Statement
Dissemination of Information about illegal Transactions
4. "A person possesses information that is not generally available which on becoming generally available will have a material effect on the price or the value of securities;" The statement refers to which of the following misconduct under the CMSA 2007?
A. False trading and Market Rigging
B. Stock Market Manipulation
C. Insider Trading
D. Trading Limits for Derivatives
E. Priority Given to Client’s Order
5. "Confirmation an order for a derivatives contract to a client without actually executing it."
The statement refers to which of the following misconduct under the CMSA 2007?
A. False Trading
B. Bucketing
C. Dissemination of Information About False Trading
D. Manipulation of Price of Derivative and Cornering
E. Insider Trading
6. All of the following are prohibited conducts of Fund Management Companies except...
A. Trade through unlicensed securities and derivatives brokers.
B. Trading securities or derivatives involves a conflict of interest with clients/funds under management.
C. Trading for your own account from or to the funds under management.
C. Credit rebates form brokers to own account.
E. Disclosing soft commission
7. "Trade in derivatives in excess of the trading limits specified by the Securities Commission or Bursa Malaysia derivatives". The statement refers to which of the following misconduct under the CMSA 2007?
A. Priority Given to Client’s Order
B. Dealing in Securities as Principal
C. Short Selling Securities
D. Trading Limits for Derivatives
E. Sequence of Order For Derivatives Traders
8. "DR or PO entering into a transaction of purchase or sale of securities in priority to client's order." The statement refers to which of the following misconduct under the CMSA 2007?
A. Dealing in Securities as Principal
B. Short Selling Securities
C. Trading Limits for Derivatives
D. Priority Given to Client’s Order
E. Sequence of Order For Derivatives Traders
9. "Instruct another holder to carry out the instructions of the first mentioned holder’s client without the consent of that client has been obtained. The statement refers to which of the following misconduct under the CMSA 2007?
A. Priority Given to Client’s Order
B. Dealing in Securities as Principal
C. Sequence of Order For Derivatives Traders
D. Dealing in Derivatives as Principal
E. Dealing in Securities/Derivatives as Principal
10. "Making or publishing any statement, promise or forecast that he knows to be misleading, false or deceptive to induce people to deal in securities." The statement refers to which of the following misconduct under the CMSA 2007?
A. False Trading and Market Rigging transaction
B. Stock Market Manipulation
C. False and Misleading Statement
D. Fraudulently Inducing Persons to Deal in Securities
E. Dissemination of Information about illegal Transactions
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