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WorksheetsSIDC eFPMR_1
Total questions: 15
Worksheet time: 30mins
The Capital Market is generally divided into the following broad markets:
i. bond market
ii. stock market
iii. wholesale market
iv. derivatives market
(i) and (iii) only
(ii) and (iv) only
(i), (ii) and (iv) only
All of the above
_________ is an individual or entity having a surplus of money who participate in the capital market in the hope of obtaining returns on their investment.
An issuer
An investor
An intermediary
An industry association
Which of the following are intermediaries for the Malaysian capital market?
i. A clearing institution
ii. A stockbroking company
iii. A fund management company
iv. Bursa Malaysia Securities Berhad
(i) and (iv) only
(ii) and (iii) only
(i), (ii) and (iii) only
All of the above
The following products are typically trade in the Malaysian capital market EXCEPT:
Shares
Unit Trust
Insurance
Futures
Which of the following instruments is a debt instrument?
Bond
Stock
Unit Trust
Derivatives
- This market allows a company or other types of entities to raise initial capital
- This is usually done by a company issuing a prospectus through an underwriting stockbroking company
Which of the following capital market components is described in the above statement?
Bond Market
Primary Market
Secondary Market
Derivatives Market
Which of the following transactions are conducted in the secondary market?
When a rights issues exercise is being undertaken by Pohan Corporation Berhad
When a company placed out one million new ordinary shares to XYZ Fund Management
When Fazli sold his shares in ABC Berhad which is traded on Bursa Malaysia Securities Berhad trough his stockbroker
When Syarikat Pembinaan Setia Berhad, a public listed company, issues shares to its shareholders via a bonus issue exercise
The following are the basic prohibitions that will revoke the Shariah compliant status of a product, EXCEPT:
Usury
Hoarding
Uncertainty
Charging high fees
A frontline regulator that is responsible for the Malaysian capital market with a duty to maintain a fair and orderly market for the securities and derivatives that are traded through its facilities. Which of the following is Entity X?
Bursa Malaysia Berhad
Securities Commission Malaysia
Association of Stockbrokers Malaysia
Bursa Malaysia Depository Sdn Bhd
The following statements CORRECTLY describes the functions of the Securities Commission Malaysia, EXCEPT:
Licenses persons engaged in regulated activities
Regulates the take-over and mergers of companies
Regulate all matters relating to unit trust schemes
Approving authority for the opening of savings account
Which of the following are functions of Bursa Malaysia Securities Berhad?
i. Governs the conduct of its Participants
ii. Responsible for surveillance of the stock market
iii. Responsible for enforcement of its Listing Requirements
iv. Regulates the takeover and merger activities of companies
(i) and (iv) only
(i), (ii) and (iii) only
(ii), (iii) and (iv) only
All of the above
Who are the participants of the derivatives market?
i. Hedgers
ii. Borrowers
iii. Speculator
iv. Arbitrageurs
(i) and (ii) only
(i) and (iii) only
(ii) and (iv) only
(i), (iii) and (iv) only
Which of the following capital market products are defined as securities under the Capital Market Services Act 2007?
i. Standardized derivatives
ii. Shares in a body corporate
iii. Units in a unit trust scheme
iv. Stocks issued by any government
(i) and (iii) only
(ii) and (iv) only
(i), (ii) and (iii) only
(ii), (iii) and (iv) only
Which of the following statements best described a Participating Organization (PO)
The issuer of securities traded on the Exchange
The shareholders who own shares of stock of a publicity listed company
A custodian of listed shares of stock that are traded on the stock exchange
A licensed trading participant that is entitled to carry out the business of trading in securities on Bursa Malaysia Securities
All of the following activities are regulated by the Securities Commission Malaysia EXCEPT:
Fund Management
Dealing in Securities
Dealing in Money Lending
Advising on Corporate Finance
