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WorksheetsTrue Or False Game
Total questions: 10
Worksheet time: 5mins
All Materials carrying the Company's name and logos will be produced by staff of the Company's designated vendors. The Agency Force is prohibited from creating their own Materials carrying the Company's name and/or logos. Is this statement TRUE or FALSE?
True
False
Please select the Top Agency Governance Taskforce cases:
i. Unauthorised KWSP submission.
ii. Fraud: Money Received Not Invested.
iii. Unauthorised Redemption/ Switching.
iv. Pre-signed/Pre-Thumbprint forms.
i & ii
All the above
i, ii & iii
ii, iii & iv
Do agents require completing the Investor Suitability Assessment Form (ISAF) for Corporate upon closing sales?
Yes
No
A Unit Trust Scheme / Private Retirement Scheme Consultant shall not make any misrepresentations or conceal any terms of any investment or proposed investment in the Company's products. Is this statement True or False?
True
False
State the stages of Money Laundering.
Placement, Integration, Layering
Integration, Placement, Layering
Placement, Layering, Integration
Layering, Integration, Placement
In step 2 of Wealth Advisory Approach, all client's information gathered should be kept as private and confidential. Is this statement TRUE or FALSE?
True
False
A customer SHOULD NOT be tipped off the impending suspicious activity. Is this statement True or False?
True
False
Tipping Off: Commits an offence and shall on conviction be liable to a fine not exceeding three (3) million ringgit or to imprisonment for a term not exceeding five (5) years or to both. Is this statement True or False?
True
False
How many Asset Allocation categories are there as recommended by Principal?
5
6
3
4
Failure to report suspicious transaction is an offence punishable upon conviction by a:
Fine not exceeding RM 5million and/or imprisonment of 2 years
Fine not exceeding RM60,000 and/or imprisonment of 1 year
Fine not exceeding RM1,000,000.00 and/or imprisonment of 3 years
Fine not exceeding RM 2 million and/or imprisonment of 2 years
