WorksheetsLEAs Training Series : Securities Commission Malaysia
Total questions: 10
Worksheet time: 2mins
1. Which of the following activity is not regulated under the Schedule 2 Capital Markets And Services Act 2007 (“CMSA 2007”)?
Dealing in Securities
Fund Management
Interest Scheme
Investment Advice
Which of the following activities, products or schemes triggers the requirement of the CMSA 2007?
Conducting a regulated activity under Schedule 2 CMSA 2007 without a valid license.
Establishing, operating a stock market or recognized market pursuant to Section 7
& 34 CMSA 2007
Offering of securities without the required approval, authorization, recognition or
registration of prospectus
All of the above
What is Digital Asset Exchange (DAX) ?
Platform that enables investors to fund start-up companies and small businesses in return for equity rights
Platform that facilitates the trading of cryptocurrencies
Platform that enables investors to lend money to businesses
Registration with SC is required for a Digital Asset Exchange (DAX) to operate in Malaysia.
True
False
When did the SC introduce the Prescription Order for Digital Currency and Digital Token?
15 January 2019
20 April 2019
12 January 2020
5 February 2020
Which of the following are amongst the actions taken by the SC against unlicensed activities?
a) Update SC’s Investor Alert List
Submit request to block website to MCMC
Refer to other agencies/foreign regulators
Lodge a police report
All of the above
Information Memorandum (IM) lodged with the SC by an unlisted Berhad company for offering of Redeemable Preference Shares (RPS) is validated and approved by the SC.
True
False
Which of the following are characteristics of current illegal investment schemes?
Offer various investment packages with high returns within a short period of time
Claim to be licensed by regulators in other jurisdictions
Use of certificates by various authorities
All of the above
The following are the objectives of InvestSmart®️, except ..
Promote retail participations in the capital market
Encourage members of the public to take control of their finances
Raise awareness on the role of SC and related agencies
Recommend suitable investment portfolios for investors
Equip investors with the knowledge, skills and tools needed to exercise good judgement and discretion
The following are tips to avoid being scammed, except...
Always deal with authorised companies/individuals
Check SC’s Investor Alert List
Payment for the purpose of investment can be made to personal bank account of licensed individuals
Be wary of investment opportunities offering high return within a short span of time
