Personal Account Dealing Policy Quiz

What is the primary purpose of the Personal Account Dealing Policy?

• To promote investment by employees

• To monitor stock market trends

• To establish standards for personal securities dealings

• To enhance customer service

Which of the following actions is prohibited under the policy?

• Trading based on publicly available information

• Recommending securities after public announcements

• Trading based on material non-public information

• Investing in foreign mutual funds

What disciplinary action may result from breaching the policy?

• A bonus cut

• Disciplinary actions as recommended by the CEO and decided by the Compliance & Risk Committee

• Warning letters only

• Mandatory transfer to another department

What must Members avoid when dealing in securities?

• Public disclosures

• Trading during office hours

• Conflicts of interest

• Opening bank accounts

Which of the following would be classified as confidential information?

• Publicly released earnings reports

• Shareholder newsletters

• Internal audit reports

• Company website homepage

What is considered an example of a questionable or illegal transaction under the policy?

• Trading in foreign bonds

• Market manipulation or false trading

• Buying mutual funds

• Holding stocks long-term

Which of the following is NOT listed as a type of security under this policy?

• Government-issued treasury bills

• Unit trusts managed in Malaysia

• Private company shares not listed on any exchange

• Securities quoted on the Main Market of the Exchange

Disclosure of personal securities transactions must be submitted quarterly by Members.

• True

• False

Employees under temporary contracts are not subject to this Policy.

• True

• False

Which of the following individuals are considered "Family Members" under the Personal Account Dealing Policy?

I. The Member’s adopted child
II. The Member’s sister’s husband
III. The Member’s spouse
IV. The Member’s stepchild

• I and II only

• I, II and IV only

• All of the above

• I, III and IV only