Annual Regulatory Training Quiz 2

The disclosure of interest specified in the Staff Personal Securities Transaction is applicable to the following persons. Select all applicable

• Directors

• Investment Committee members

• Employees

• Connected persons

The disclosure of interest is made under what circumstances? Select all applilcable

• Upon joinning

• Monthly

• As and when there are changes to the interests

• Annually

All employees' personal trading are subject to prior approval from:

• CEO

• Head of Compliance

• Head of Department

• Chairman

What is the validity period of the approval granted for employees' personal trading under the Staff Personal Securities Transaction Policy?

• 3 business days

• 5 business days

• 7 business days

• 10 business days

What are the Core Principles of Ethical Standards and Professional Conduct according to FIMM Code of Ethics? Select all applicabl

• Honest and Integrity

• Professionalism

• Avoidance of Conflict of Interest

• Disclosure of information

A Distributor and Consultant can perform any switching transactions for an investor to generate more sales commission.

Is the above statement

• True

• False

What are the penalties for the breach of Section 59 of CMSA for the requirements of CMSRL? Select all applicable

• Fine not < RM5m

• Fine not < RM10m

• Jail not < 5 years

• Jail not < 10 years

Below are expectation of Treating Investors Fairly under SC Guidelines on Sales Practices. Select all applicable

• Investor's information is adequately safeguarded

• Complaints by investors are dealt with in a fair and efficient manner

• Fee & commission paid do not result in recommending unsuitable products to investors

• No information that is false, misleading and material omission in any promotional materials.

What is the minimum CDP points for FIMM registration renewal?

• 16 CDP points

• 20 CDP points

A Marketing Representative under the SC Guideline on Marketing Representatives is allowed to carry out permitted capital market activities

• True

• False