
BM1484
Authored by Elaine Chan
English
Professional Development
Used 2+ times

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14 questions
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1.
MULTIPLE SELECT QUESTION
45 sec • 1 pt
A Transfer Agent does the following:
Keep shareholders' record of account balances
maintain purchases and sales
transfer monies
maintains shareholders records only
2.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
A registrar is an official keeper of records made in a register.
False
True
I am not sure.
3.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Distributors offer limited choices of unit trust as compared to Fund Managers.
True
False
I dont know.
4.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
A bank computes daily NAV of a UT and reports to Fund Manager
(T+1) before 5pm
(T+1) before 2359
before 12pm
(T+1) before 12pm
5.
MULTIPLE SELECT QUESTION
45 sec • 1 pt
MNL Bank is the trustee appointed by the fund manager. MNL bank's function includes
performs compliance checks
maintains fund a/c in trustee's name
promote the UT of the fund manager
perform the investment decision of the UT
6.
FILL IN THE BLANK QUESTION
1 min • 1 pt
Creation of an account in registry system requires : Name, Address, Identification Number and ______ ______.
7.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
When creating an investor's account, AML/KYC is not important.
True
False
Depends
I dont know.
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