SIDC Module 6 Questions

Module 6
1. What is "securities"? - definition
2. Immediate basis features i.e. transaction: delivery and payment
3. Capital Adequacy Ratio: 3 questions i.e. calculation
Reporting of CAR ratio: When to report daily, weekly & monthly?
A compliance officer noted CAR of a stock broking firm fell below the required level, what
should he do?
4. Direct business transaction: When do we need to report to MSEB? VWAP (10% - 15%),
done before and after 5.15 pm
5. Define "margin", "equity" & "outstanding balance". What to do if MOF reaches 130% and
150%
6. Designated securities: 3 questions i.e. criteria
7. License: 2 questions i.e. license issued by SC
8. Relationship employee and dealer
9. When a stock broking firm has low paid up capital within certain period. What are the
procedures?
10. Corporate disclosure policy: When the stock broking company not disclose the information to
the client (i.e. a particular counter's information), what the client should do?
11. Brokerage for remisier
i.e. Commission RM1000, how much a remisier get? RM400.
12. Reserve funds i.e. % of NPAT to be allocated to reserve funds
13. Win-score roles/functions
14. Consideration of adviser
15. Single client exposure i.e. husband and wife (margin account - 30% of PO's Adjusted Capital)
16. CDS free balance. When?
17. Paid up capital of main board listing requirement
i.e. Bumiputra 30%, aggregate NPAT for 5 years (1st and 2nd boards)
18. Compliance officer's and EDO's duties
19. What is "contra" - definition
20. Functions of a stock broking firm: transact stock, research etc.
21. SCAN's functions
22. Netting
23. ROC's functions