Module 6 - Malaysian Stock Market & Securities Law “Trainee Dealer's Represantative - Meck Exam 1, Buse Maya Steutes Bera caries oxt al ofthe folbvng functors, EXCEPT: (evens the conkuctof ts Prtcgansn ectes deals Isresponsbleforsavellancee the raret pace Istesponsble for enforcement Uso Requrerents 2. Patcating Organisstion ust subi ther eucted acum tothe Bichage wibin rem exd a ‘hl Manel yer a A moites 5 2monns < 3mm a manne 3. Director wo wishes to resin ‘ton his decors sha mati the Commit tng no ess than ys pr tote proposes cal of resgnton, anass 5) days 2 says 8) 120 doye 4: here a const forthe sale of stares ests, to wham do the As and oblaaton unr the contract py | 2 twthebiyr ofthe shares 1D, tothe sater ethe shares I) 10 2MS6 nrough ram he shares are tracec | %) te thopronder ofa secure ob tthe borer Dy at ony 21, ad an DAT ott above 5; AMEN ore folowing saerents descabe Imedate Bass Contact? )) omic bingn sha be insta on esac (2nd) mara ay loi the contact date 1) seling out sl be nsec on thet (Sd) mre day feowng the contrat cate payment by te Farting Orgarsatan to e Cleanng Hause to De efeted not ae then 10.00, | onthe cond 2) marae dy allowing she cane Cate 1) amment fy the Partspzting Organon a satng lets ta Ee Raced not ate an 12.30 am. ‘nthe secand (2nd) mare ay fllneng the coc = 8) and ip ony Bh.) ene an ony © (ibang (ony 6) Alottne shave 5. Whi ef the flowing stzamantsdeeebe Rady acs Contract? 1) automatic bujng-n sabe instead cn 20d (rt) mart day flowing the contact date 1) setng-ut stl be insti o> he out ay man Gy foloning te contact date "payment bythe Fartiazing Orjanzaton 0 leaning sevse vo be fected ot ix than 10.00 2 othe bid ro] market day Font the contac date ')baymest by the Parispting Organisation sang cles be efectat not ater tan 12.30 pm on he bi (3) marke day rorowng ns crea te 3) (andi anyModule 6 - Malaysian Stock Market & Securities Law 8 dana ci only S (utiand (9) ony alate ae 7. & Parscnatng Omanisstion required tosutmi in wring to the Tehrmaclany Sepanon Dion ag IS dested couse of cio a coracive measies akan axcompanid fy 2 wrt secaraton (by ‘Be EDO any any che recor or Complaice Ofer) ithe Capt! Acaciacy Aa of te Farting Orgeistion become 2) Ltdorbebw © Lapocbel 9 EStorbebw @ 200 orbebw 3. Whi othe folowing is tue about mencnans to conve? 4) ony eng i the secures acoust rumor sn be offerte 1) amendnert fo Ready sai Conracs ay beefed lst by $00 p.m. on the contrac date 1) amendinert fe imme Bsals Contracts nay be efectes latest 8.00 pm. on te coral da 1M) amendnerts sot due tb any feu cf =e rebvane oe Shal be responable by the Particoatng Srpenisatien 2) (and ony ©. ana cp ony ©) (hana ah ont 8 2 Dr Lee has 3 margin fact of RM snk with 5B Senter. The saints Mn hat an Erecive ‘Sharetesser Funes O° AMGD min. The ae Dr. Lae ae wes fo open & ag aexcunt WI “Secunties Whs tha maamum int tae 53 Secs sa gr Wn Lae? 10, Fria Socites Bhd has an EMbctre Starepcttes” Runes PMID oR. What te madmum ‘agrgats cvtszndg atins i tho mann acount monsied by al clas cet Dey hae 2) RMI00 ton 9) sszooamen © BREDD maior @ aMe0 ion 3. Frtkpsung Otgansttons sal repo torre Eienange a OM-Selence Sheet Transetbons ented nto by Sen a) On daly tact Bone mene Dans ©) Gn smentty tals Ore quarry bass 12, Fora eng atthe decoration of Desgites Secures rein in Force Centos my Ipc the folowing condone 4) A margin caveron al dealings rein ts such Cesgntse Secures i) resrcon onal suck dealings a deve betee ale bargains iil) 4 ponbican or my sale of tre Dasuratea Sexes UNess the seler delvers the Desgasted Sere tothe Purscpatng Orzankaten a: the Une of estarng its she cares le 48) Suspend the counter sou manpuitio: or ncoseve speation il pevit a) and ()Module 6 - Malaysian Stock Market & Securities Law 8 w 5 16 v, 18. ») Goan iy ©) WG nde) d) ab ofsre above For te year 1699, <8 Secures nas sharetolir fund af RMS milion, Wht I the nmin percentage of prof fer to tat st be olen de Reser Fund? a) 5% b) 0% ©) 2 @) s% Which ofthe folowing isa CORRECT satement? kn ATS Operator may 1) Cancel or wiharew an arr which remain insect or unmatcned i) Gater orders into the SCORE beter $0 am arc 1230 pm for te maming session an 2.30 gm fre £00 pn for theatre sesso ili) Not enter nt the SCORE = angle ocr e secures exceeding 5000 Roan ts i) Erte xcersints te SCORE sade orcers ae sa or thet art ey ely a) (and (ip b) ara ©} Qanemn 9) (ard (9) “The business operate an Adit shoul ba ha by the Paring Omarion? 8) Cher curve >) } Siecunve Dreanr of Desing «managing Ovectar Inthe event of m busing cent which fist se is custandingameunt the sling ou process shoul become bythe 8) eachenge oe she 4 marr ay are rineaon 1b) Bienange or tie 5* mike doy ater tne twsnton ©), Patiseatna Ormankation, ont mati: cov after the mansion 4) Parcepatng Orgran, on tS rare day aftr ho banenctn ‘Wht the minimum bir shares thet aie preed between M0 and M24 SO? a) 20 b) Seen ©) sen A) 25se ‘ny aiterones sneng on a ‘cena’ setieer ouanding purchase poston and outstanding sakes Poston stl be setd between Peticbaing Drgwiesion and thet cents not tr tan the 8) maket da flowing the dae of sch ora! bb) ¥ marke doy folowingthe cate cf such ora ©) Se market day fing the dae f such estat Ad) 7 market cay flowing the dae such extra)1. a. ‘Module 6 - Malaysian Stock Market & Securities Law chan bough sr shares on ready hess on 15° May 2005, Monday. Ws th ast day Mr Chan st make seen? 2) May 2005, thurseay oy 0.09 a) > io! Mor 7009. Mhursay oy 2.29 on ©) 20 May 2005, Fritayby 10.0 a ) 20% Hoy 2005, Friayby 12.0 em ‘hin ofthe flowing sturrrents are TRUE” & conpany seeding sing on the Main Boar! shoud mest ‘be fobowing cequrements |) hace pont ack cord a 3 year and sggeges sar sx prof of M29 millon 1) asa pot track coel aS year ad sigs sacs prof a 30 mon fil) a manu aftr tx co othe mas: cent ye of RE mle fv) por tothetstng, at eas: 25% afte sued anc salu canta the hands fhe utc a) (andi ) ay ana © O.® asa ®) Alcetreasoes ted campanies wishing tn sue reacement wars ae required to osain por appovl fom the ‘Secures Comnisson anc the lint ef the tse, secegated Wal oustanding warrant shad not exceed of else compas sare copa before te eres a) 3% ) som 2 5% 0% \Wthrawat of shares fom the COS can aly ba isted unde tho ollwing cresmetnees 4) share boy tack ii). comersen of aan stack ino orn) shree i) raise of shares fem meters 4) process of company resrctuing 8) Qed ) 0,09 ano teats @) Alte atove Partipsing Organbaton sill mantis the flowing rca i remest cles account 1) eateotoperng the acount ‘in’ Tnneat poston 1) pas ef ronson or which the acount Is ppd 5) prteulas a al wansactios hhdeg te commisson chars a) janet b) taney ©) biend ) alate oveModule 6- Malaysian Stock Market & Securities Law 24. Hisham is 2 remstor a ABC Secures Beta are foe» rang tin af RN3N,C00, Howser, to Ne ‘ubstanding perrmanee, Fs radng has recat fs Im n Order (Olt ase oul on the commis, HHinom nes mace a orate arsngemet wit) anoltr arise, Daan that he wl crac sme of ‘deals to in fora sharing of NOH Of Ue cries What ae the atone that ee Garnet he Exchangecan te? i) sespene Hct’ dealer's repesentacve lence in) srucc of sans dealers opeseniatveIece om the register li) reprimand Coen I) reprmenc AC Secures they fl > report tothe Eacharge upon kaon the above arengemet a) Gard b) @.@ and ap ©) ©, candi) A) Alofthe stove we heh of he ouowag sateen are TRUE? i) an ore shel be ets eening opie and ne ii) a Lit Order has ry er Market Orter i) fr Lit roe, preference i ven the est ty errs and ows el onder {iv} nen buy sell orders are quoted a the same price, preference i vant the ears buy fll rer, sain st ets 2) aa } amen ©) anda Baym 1B Aowaean be convenes ack 1265, «pil emUton snub acorae he apapate noice at 1-177, a) 7aa6 b) teas ©) 2icaes 1d) Becays 27, Sr-oEBIESSES Scion 115 of CMSA sates tha # Gleam witaRaW monies rm @ tis Sern fr te purpose of len » pment 4) torn accordance with writen irate of persan end tthe money fi) eteayingbrekeage ane ote propor chrnes Ui) totop-upon the main ert peaton asin: ty KLSE teste For nese a) and. b) Gard ay ©) (.haracn) 9) Aorme above 28. For Dect Business transecons whiese pice atove the reimant Velumelechted Averge Price (VWAR), the folowing Information ust Tumsted the Bxcrange” 4) deat ofthebuner and ster Ii) the number stares ivaled wd preModule 6 - Malaysian Stock Market & Securities Law Ii) the average transection othe buy / slr frthe Is ne man iv) the base on woh the proe wazag-sed 2 anda b) (0,00) and cay 9) (hand tid 6) Alef te above 18. ‘Placement can ba defied 2) stench tothe pt srr ret von yh aver ante meant » a a ©) an ssue of secures un nati of eter asses of secances upon everese of conversion ofthe ecules hal 1) an issue ofnaw store for mchange fae cr charcoal of cher company Fa “The Continuing Listing Requirements provide tht: 4)halt yea parts o be proved to the HSB within 3 mont af the endo thehelfoancal yee ne ii) prelmirary francal satement to Oe ofoviled te te EMSE within 3 months of the end ofthe franca year ‘it audted annual reer tobe usc wn 4 ments ofthe and ofthe finan yar In) prime anrualrepntsto se isued ta saretocers icin 6 montis the endef the fancy a) mdm D0, nde ©) Ciyand ) Alef the abo 27 ‘tata Conon 1) an ocr of the cooraton win tas rrviege Iermaton that my aff the share ples ofthe ‘orroary tise 1) 2 Greco ofthe corgraion wa has unpubishe peice sentive infomation tat ceuls ae the Share pie te company r=xetalt Cy) 1d) Rech Ean fer ete carpnraton mat arcs al the Finsnea foment sonny x “nv! Members paca in the ssuity ofthe Parcigsting Organ shal be subject te 4) he ngage otal pavcoston sha be vtriced tn wo more thin 100 ofthe ea up eat cf tha Paricine rsaiaton 1) the agente al pavicnaton sal be rece tn no ere tan 33% ofthe tla pave capt the Partpatng Grgantaton 2 4d} the sogregate tts parichaton shal be rexbidad ta “9 mere tan 52% of the toa piu capt af the Partiopating Ornate 33. Indlvoul nonerbers paticpacon sal be a) vetshas Dy nt mor tan 33% of the total paid up cana eee P-tispting Organisation ©} nt more tan 49% ofthe total paid up caps! sm Prtisnang OrganisationModule 6 - Malaysian Stock Market & Securities Law «not moron SL oF he ot pal ip eat te Patlepatng Oransaten| 24, Sete fr net purciases by @Particpting Orgénbatin must be mace to BEE Bursa Malaya ‘Sesutles Canny Sah Bhd a) 1230pmon742 b) sngoamonT=3 ©) 1230 omen 4) 10.00ament=3 39 person may be mess chet nducg near ode n secures that son 4) doesnot care wether the satment a formation tea se i) knows or reasons to have knovr tat the stetenet of infornaton i false or miesdng in a rmatra prteair iit) makes 0° publishes any stiteneet, promise or frecast that he knows to be midendng, fase oF feces iv] dihonesty conetl one matt foc 2) Oanda B) twang cin ©), Gand) @) ALofthe abe Were 2 arclptng Crganicaton sends cular otter side vnten cammuntons in wh he rakes recommandaton wth espctto sete, hey mus 4) rake concise satersent oso interestn the secures concerned i) make knopn 2a vormaton taf ts certs ill) ensure te crear s signa by @ crear, 28 ecte of OF the seeeary Of the Menter Comany i) preseve a cooy of the crelr he 8 period of sete (7) yeas 3) Mand b) Gare 2) GMa @) Alatmesnoe 13% en ameone ene nore af he rest ay va at, then be mi wn 9 ‘mandatory goer oferta re remaining shrehedo of tt par Coen a) 25 >) am ©) 50% a) 75% 38,/" Which of the folowing statements are TRUE stout he Bective Dect of Operators? 1). respite to oversee te anton the Complanceofcer )_ must have at es 5 yeers af escent worsng eperence iii) tbe engaged ful tine in the ofen of the Pacing Orgeniston jv) a menbar ofa cops tock change a) @ané () ») Gi. Gars cy ©) Gita oaModule 6 - Malaysian Stock Market & Securities Law 4) Weta above 38, Code of Talaower & Merges I aniy asp fr 8) achat companies wt pan cata ct merenan Rezo ion 1) public lated cemperies (©) somoasis vit bumiputr pricpatios of move than 5% 4d) anycompasies itancing for levers ergs 40, SSG rsa Trade Series sytem can be sed fre 2) eit conto} manapenest 12) submizion of Capa! Adequacy Fie fil) order nd eace try ix) managing he Parting Orsarietion> re 8) Cand mand ©) 0, ana 3) alee wadve 41, The flowin pes of colts ae accept for margin ee: i) govermert bends 42) ed depos caricates frig currency deromnaton ii) oa bankers acceptances |v) qusoneestssued by bea banks al wae b) tana (0, Wand ci 4) lat the aor 2. BRRREBineatlaeaDalaNS et ew Te question ma ange epleabe) a) 10% of the WAP of the previous session's dosing arice ‘b) 10% ofthe VWAP of the prewous day's slosna gece 3 edness? y ow “Te Kus Lump Compose inde ie upload an neues cecroncaly once vey a) One(i) minute jae aaa Se gai meta tg th nda BEEP ome pee, [mena dee y/ pana laneanieomeiens 2) emsModule 6 - Malaysian Stock Market & Securities Law #. 4% 5 1b) Mnisry af Farce ©) Saul a ‘at the mou percentage of bearane tata dees renreseratie ered? a) 30% ) ©) 50% a) 0% ‘The stock mark. mide up of 2 tarets, 2. the pomary markt and she seconcary mare. The secondary marks is central artt lace ld y te sock exchange 4) ich allow corps ri iri cai 2) ere pap cn ad Kur secures creyousy sued )_toisse rats sue ancother secures 4) tolenve tongs anc opens Paticoatng Oruanisatios stl send oct statements oa tsminain cents at he fllwing tral? 8) west ®) manly ©) bimocthy 3) vary “The Committee may impaze the folowng condians for Designated Sexes |) amino cove o all cealings eatng to such Oesigated Secures |) aresticuan ona sich cosine fo elven bee sale argans 18) a resicton on al wang nthe Dedgrnted Seo. e> by Paring Organaaton to the stent that the oustanding sonar of tae Paticnseng Orcangation In ‘espet of the, Designated Securles at an oFe tme de ot exceed fies (3%) ofthe ld Up capa of be ster wheae series ave beer cessor) Oe eta asthe Crt my Fr te te oct Iv) brchibbion on any sale ofthe Desioated Secures unless the seb deters the Deiat Secures to the Parhclating Orgenisaes atthe be of ereering itn the sale contre =) Qane@ & OG aren 4) Avortneabove ia : : repeal tc curert les ol CSTs em be repre Be Enags on foie Ss » 3} Sint re ormencaner oe orig Wad son 3 aamtne oe = mcring tacng season Se ain rs = (No ongersppcte.Aproralragured feed 150s end que lm thn 30900) ee ee ayes 20 Bons. Sri. aun.‘Module 6 - Malaysian Stock Market & Securities Law 4520 hee ishemininr tates obigton» on-nanberhia to et lr he ed ea tr th tebetande? ©) aem.ocn 5» aoc 9 aeo00 9 eso 53, 9Y2 Sn fd is Parispatng Cresson, The sate heldes consets of the Foloning: XS is 2 Corporation ling 30% of te ota oad up cata, Zis Koper ayatFoldng 20% of tal paid ua ‘apa, En, Reiman Mods 408 cf ta ale up aa and Duk MEAG dd 10% af the fal pid UD ‘Spl What av he passe reas? 1) tnd sore halting wera 1056 i) Comore share hott exceeira 109% i) Corpora share sales stl no hld 305 of theta as up and rae than 43% of the ‘otal pad op 0 the Particeting Orpniten Iv) kagregst nda stare nating exceetng 4296 3) ane) BM ang @ eandow 54. formation whi s feud in he resect |S Momation whi fundin the resect |) infomation aboutine sve 1) som franc internation stot the sue Ii) sacs informaten abou he issue Iv) a statement asto the nheen ios invowes 2 Qand() 3) (i) and cay © (ei) and) alice atone 5S. For te purpose of rad on marin accaurs, "etna bance" mens 9) the aman ed cen hs cardi ana ons ansiton secu ua alLcomnisson carpe an east roenses by he agoregate amount ef cos and colatel deposed Ino a lens marin amount but exudes seus vieh are purcased ara cared he mag account ©) the arcuntoned ay act his ma axcoun sr Row is ansecen w secures, exuding commision carp a rrotert eats ‘he sum of margin an secures rthasad = cari hy cent marcin account co canouie gars sie casual ey oat feces onres 2 cc es El tenmsna fea ovcormmn ste wea eto lores these rine raracon ws ch Seah. avon muse 1) inform st mate's te ster of he shares Il) cetainconsenttrom te Decor ofthe Fartpeing Grgarisaton he atacedto I) cota epprva rer secures Commision in) inform se oeore ect te ore 2 aaa Bil) ane iv) q pees 10“Module 6 - Malaysian Stock Market & Securities Law SP Compliance Oe can do the fallonigs: i) recite aces fr designated cles of ratspeing Onansaton IN) evi te handing orcampiais em cles an rexmmencing souks {il) Aaprove the application forms and decumenss of aocourts af cients Iv) Review empoyeestrarsaction 8) Wane 5) Gh ) and Ai) 2 8) Alaftne above /, .$8/ Paticoatna Organist sal not orent reat ites othe fling persons x ou i) anyerasciecors/ empeyees Ii) ey ndcual wom any as ets / employees as provid a guaramme il) sy person whos rotted under 593(2) ore SA Iv) any corporation / fem wien ty a fs crecors/enphyees Interested as a partner, manager, ‘uaranter agentes than se 8 Steck Sean agen 2) (ana 2) Gy Gea inn 2 Gh) ana) 9) atotthe above nal mung rust be placad by cet wits te Perici Organisation mat ater tran —_—__ falowng the carte date of a purcaces of sess ar the amt of marin shal be sues aE Re equtyis ot essthan of he ouszaringtalncsn the main acu 9) Salen cys, tse 1B) Smaicet tay, 15005 ©) Smatet dare, (20% 3} Tmatet day, 150% ‘clint nas hmucht ves uased on the recmmnditinn ofan ane and has site latte. The lent nom wants to sus the adisr fo be sas sires What are the delenees hat are net aval to the sone? 1) echt cits not have sued he had ine prae Ii) em vier ol uot iow of oe change nthe cle Investment chfedove Il) wie aevanr ha aeons he rere tose sees, Iv) tho recommandtion yas eased onrezanabe bai/receorch 2 0 >) ana.ca 2 GG ard @) allotthesbove arian organisation has postion as ols ‘Gen bought 6,000 uns oF shares, clee 8 Sought 4000 unis ot hares sn cent C sd 20,000 Links cf shes. Setlment hetaeeParclestng reason an SCANS shal De: 2). sal 020.000 ar nay a 10,000 5) tlle 10.000 uns }_ tet buy cf 10,000 units 1) rene of te above a“Module 6 - Malaysian Stock Market & Secnrities Law 62, Whe an inves has deposed pinto a CDS zearnt heise can Wade 1) 00" shale eceives a jasitrefeence nob ram Sure Meola Depestory dh. El 5} as son as heshe recone rotfeaton ‘tom Suva ayn Conattary Sn. Ake teeth Sent Dorsal sacred ©) tin fourteen (18) rare days of depnsing he seb wthSursaHalaysia Deposkoy So hd, ©) nasaon shinier cl nice sve Tee sais by Buta Miwa Degustory Se (52 Secutis Commision’ pproal srequcedtor: 1) an ssue ot scurtes ty aprvate Company 1) an gsue ot securnas cet an enplyee share ogtion il) an ssue of secures arisng rom a nan rerouncesle scheme rights au by ated pele cman iv) an ssue or secuntesaring om 2 tonus ise of an anise pusiconpary 2) and a, 5 tandan (hed and) 9 Alte ose tah allowing are the characteristic of 2 Comcany Limited by Guaranzee: {) me tauiny of sacn mater mts tothe anourt the member eas cuarartes to centrbut ifthe ‘Sirpary fae hmuMclen sed poy fe cebte whan Flawed UP 1 mane ented cant sy cpl hee Copy nga MW) cxetitomed wb erbvome neopets rectal 1) syn ene at re te 9 waa 8 an ¢ omc @ tates 57 ania io eet 2) teases tn R50 1000 rst pa orb 3 fe rot ess an 50,000" tnprsoment op a1 nts tat { Maeupta RAE muon ar impieot man i te est 6. company has an issued capta of 200 milion, died in £00/00.000 stares of SC oent each. It Isp wo apt stares at40 cent cach. Wat the Compa’ uke aaa 3) RME20 millon 5) amet maton © Reo RM raien (7. Tre cbjectve of the KSB Conposte Index i) teem rete the petomancer comtanes ses on the BASE. it) 0 be genera sete ws imesors expecta. Ii) tbe genertyindeatve othe inpat of govertr=t poly. iv) t te resanasy reponive to te szucirl changes in he GMerent sees of the Maayan 3) manda 5 the ainane ow iesModule 6~ Malaysian Stock Market & Securities Law 2 0, c0 and 8) Alottne stove 168. A conpany ha nse! 250 milion shares st por valu: oS cans, Te cimyany anounces@ bonus ism ot fr. hat ithe taal umber of shes nom i= 2) 130 non 3) 250 rit ©) 3stilon 60 rior @ Wl of the following Gest te marching oder done in $6 Dura Trade Secures 3) see of oer 5) tine areterence 5) ieandtie serene See an ace prefesnes Te rast tal pation ot nal ears the she apa of ay Ftp parson 8) rorethan 20% offs total patun cmt, 5) trove than 25% offs tal pup casa 3 2 4) rove than 8 of fs ttl patbup coe _T97 Fovacopraton a ompay in Fria ten nay 3) 20% oft a situp expat, 5) sis of fs trap cata. €) 38% of ts teal pale up cape ©) Sitkac is saaloaua canal 72,4 Dealer Repesrtatve may records ty trrzaconfrthe buying a sling secre ae he 7 ales corstiaton m ee 1) clantnisetmef knowledge, I, tents tina acearoune 1 the petra sk nolved. 9 thane capa, 2) andi 5) tana 9) Motthesbos, "73. init rer means an order whi to be exeste athe ertered rice or eter > te 1) False 74, Merket Orrin velo to tables, mes an ade nich be erected he makhig rice ) Tue 1) Fabe 75 Ones an oder is matched, cnfimation can be done trough 1) a proeer atte daing’s roam, 1) other deter the Farecosting Orgenisaon, 5) enine sveen onthe vk tation. 1) anaes rom BMS. 2Module 6 - Malaysian Stock Market & Securities Law 2) land ©) andi 9 tant 5 hors (iC neste a teen thre nt ) omen. 1B) Minity 0 Francs 8 oe 77. Cano uncer the alain Coen Tadsnver and Heroes 2 etn saree ong srescorpy more than $5 oft ven 1) thc or anreqat hoang of chars company nor than 203" of he wot. None ofthe above 7a, The otowg semen is BEST scribe Yr Cal Waren ‘call warrant (as opposed toa put wera) Is he 9 cll obton because I ives the tne te dat bay sharas of the Comoany hat ese te ara uri the fa of fe warans Due 1) False 79. ny company sve Rot “To ase equty capil o fund expanson or dvensfatono isbusness atte: > us "aie 80, What deals areprinted ona eadeconfmation ate sackorking company’ fee 1, der number i) Sock umber i pice. ‘ane, 2) and By and tne a © Alofthe abso, 1. Whatis the irimu bid or shaves which ae bot? 2. 5 hing Wis ssove the lat recardes alsa se a the lose of Hadi the reveus mat acs preview tina session wits everis haha, > is 1Sruneticr shove the lt corded aa Ue dee oF tring onthe previous mt én ise of preview radingsesion which sues inher 4. lnm cs sbovetse as reared sale te dose of trad on the reviews make dy dose of review trading session vo ever Ishicher 2. MeXis actin of Bank. Through new pape, he hs me across ae pl eve. The erploves of ‘te tank have been approached by Hr X te che ives adv on 2 puble ss. Doss the Eank requre en ivesmenc avers cence? Yes moModule 6 - Malaysian Stock Market & Securities Law 8 Enyofodes. 1) canes owner an one which ema emai 3)_unmtched ders be cried ford othe ns ting sso. iy Partilpatng Organsatien can songalthe eney cf eres heed on quenthy and rice Is) ean be done betse38 9-12-30 pn and pr rm a) jadi 5) Vand ©) Lied 4) Alot he above 84, The ter wie ers ded as: ~ 1) Whore ouch gla ati on Inviual ary east Fates given tthe adhd, oie of the Individual the parrerssip of which hea parce, ary warner cf the vd, the spouse of the arte std ll re corpasis oF coneatons aver which che india eres corto stall De fiero oe cru eclbes ecard toa ge clon 304 1) Ware sh sgl clon fea company or corporal, ary wee faites extend to ne company or ‘cepostion ts elated compan or corporation and ts assceted compas Sal be cerned be {rea facies exterdec to» hg cant Tue Fase 25/7 he toon is acton te Fancostng git an ake i He ent te eau oF 8 ces Pm scoot aso ts athe ocstanng tanee ave 3% |) the Patipsting Organisation shallrmedaty tot the BMSE 1. Paticpatng O-tansaton sallsuspord the marge accosre mec {) Paticpating Orgnieaton zal immed rarvact fe lan to up the short 2 a to big Be faut to not es than 150% o the antenna balance wy Partiepatng Oreaniston stl qld the cebu mediately a Di 8) let ar 8) Alarmesoove ‘na isthe minimue trokerace payable by both the seer ard buyer en ean rarsacion ad on any cotter tansacton” 9 misma mamnstaiom i) RIC TO.aGand RnI2.00 I) RW 200.09 and RM 20.09 Iv) RWC T,000.00 0 RH 60.00 87. Forthe acuies at bovita an dsosing secures ay Diectrs ofa Patiiatingeraniaton de hey eau toabsain prone 5) Ne 1). Yes fom Boant of Srectar of the Esenanoe ©) Yet 5t Dear ofthe Parisi Ge 88, For Transactions ty Gvetoy deny the cere eaten: 1) Requle por wrten appro fom the Scart of Drasor ofthe FatciatingCrosisation 1) The Btard of rector eoohe to authorse an oft rectors to gre he writen consent I) The Baer of Giese Ireaponsible fo er acon othe Oectr se axthorned is) Baticeatna Orcsiation sll nay the Exchange Vary of Rs Daca nerds ade for hs own scout‘Module 6 - Malaysian Stock Market & Securities Law ®, eZ 2, iw m 2) andi ior © bitendit 6 For Trarsacions caret out by employes, dant the cont statement 1) an slays can ony opan «tang azcount mt the Petisating Crganiin by whom he/she is enrioyed 1) tach fansactin onder requres a separate witty authors by a Dieter of the Partipatng Draensten 1) nh lor represertatves deigntze by thi Patcpating Oranaton de llowed to undetke ‘ateacions by alts emloyees and conrmssin dealers raraertvee Ny olerope2eyable by employees shal ot bes an Vs 9 the rates Set out nthe Rules of BASE 2) jane Blandi, ian 9 Aoi atnie, ‘chant may ony tra fram is min acourt sales peeoes or ni art these eat and iy ‘ollseral fot he tne being depastac its he rargn acount sovided tat te vale othe equity nthe Said magn acesue des ot Seen y a the eutsandng seine a) 100 5 130 ¢ wa 3 m0 ‘Minium capital requited fara company ta be libed o> man Beare % raion < 2rilion ‘@ s0ramon Pirate ecenpt Conary cir do the flowna exces: 4) pfoibeaans > decors sim 20 nal praon ® 1) fat equed taloage he anna "pert “Tas racing wotk has $ ting cays Cent sot os Monday. Gelveh- Sees ES ‘What dy isthe cet scout debe? Featy ot tne wading sk «)_ Monday ofthe radia was {be toting Noneay ae the acing tek How best desarbe esinary shares/tode > ‘estos, 1) shares of 2 ferent ass fom ordinary shaves wih havea prefer ston oie ory ‘fares cn the payrent of cents, ©) documents recaring 3 toan soectying the date of ts natu ar th rte of intrest to be pal at {ich speared. 4) Seu sel 8 Conan fer lone made by noes. 16Module 6 - Malaysian Stock Market & Securities Law 95, The Merrrardut ane stil of Assocation 3 comean mie by guararte soil includes 1) love of enars coped 2). speaty dividend size 4) caneset of maatng ‘The Company ACT A965 requees » company to ciated and elnino congany rei wh incu 2) sect 63) - Resta of Subtarti Sharstldes 1) section 70 Regster of Ware Holdes 1) secon 161 = Rogear of Directors Maran] an Secetates IW) sect 134 Reger of recto ralang 2) (and (ib 3 Goma 4) Mlottheabove 87. The finetons and respons of ard nine we! 1) tose the company on te foataten scheme 1) tomenage te sue I) tannins tata equirmants te compl wth NM) toamange fo subsindewrtes, 2 (ane a, 5) Odi ans cn ©) ih (and 4) Mlottheabore ‘98 - Reconting to Rule 703 ofthe Rules of Eure lia Soca Brhad, Margins 9) the aggrsete amount of ash ard cllstera densted inte pc's marin acount but exudes sehen vil a ouhmesanc cai nscale by the agrgate amcunt of exh and colatera” depots to. clits mars asount ncuding Ssecutties hich areprchated an cad nfs main accourt ©) the aggregate uncut of cash 2nd colatra depot? no a din's mang axcount Inch emason ages an Ire expenses cio Ne magn acxoure 4) the ayareeto amount of each nt exlsara deposta into cents arg seeoun but exudes ‘coniston charges ane interes expenses ceed Ms magn Acct ux Penatty forthe ofence of short sling I> 4) ne rot excesing ene millon rhgat os naonnen fora term net oceecing tn Yeats 5) oot Ssta ei gat co ngrero 2 teptles a eh a ob Ea 4) Fite nt les then ane millon igo orto morsonment fr aterm not exceeding ten Year ota bath 100, Under Soa Burs Trace Secure, tore 8 Mit mgt onthe Highest and the lives pric hat a parr ck cn te bed fe exch dng ses theca. The ber leiwer mk fhe pre (eed at 8) 205 dosing goa of sevous ding sain ) ©). 408 of cig ses of previous wads sein 9) Neneorme Boe 01, Primary market fete martin wha 17‘Module 6 - Malaysian Stock Market & Securities Law. 4} chs secur ae tad error nests 1) main boar counters are lator the acronge G)_MlttAs doe counters 3 Inet O° the change 4) nee eed as ace ade ft st tine 102, What are the aot the Commies sy take they neve cared # come" sn secures? 1) posone the tine fr ceteris to such tm aye by the cre 1) om time tne stand tne for daverae 1)‘ postzone the devas und ter aon bythe Commitee IM) fo decre thai te sald sacurtes rat colveres on may contrac at cr before the te vhich has Deen fed by te corine rsh devery, sch contac tal be seed rat by Camry Dut Dy avert 4 Gutta bh ence S G,0 ante (won, 103. whic ofthe rtowing conse osang i scurts wheter as pincnal or agent 1) buy or sling of secures {i undewteng of secrtas 9 Aceerynemiate 2) (ony, 5 Gandy © Gadi) @ ma 108, “Te SEGRE Suna Time Seoutes ser ine te ere a parca sock to mbm OF 9) 3000 lots 5) svi Toons 305. The aventages ofthe CanratDepostory Site: are. 1) Relmnater prodln asia wth frp senpnicng sob ete 1) vers wilnot ss aut ettement to borus, st lest due to late logo ment 1) reduces tadeaans worls of stktroung hoses, 1m) leresuoes vansacton tat suchas roarace 3) (ony 5 ed 5) Mrotthe stove 106. SSANSYOAERASNGHOUSE Sure Nolte Seurtieg Charny St She Desorms the flwirg fncton 8] tev denino facttes bowen clenng mamceraacsthl en 1) fo amare reosssyy orton aba iste shares ova fal Ue Bass ¢) to deterniza the fa sete ice 8) prove compute sevees m Goarng menbes of wcaralanemna 9) muna aed ase of mo than S40 ile ).Serthe oonpsnys Merorondar of Amecano™ ©) feduc is share canta 8) wine-spthe company votutaly 8un 11, ae am. 113 a4 Module 6 - Malaysian Stock Market & Securities Law Fora cscosie based Reauaton, the burden of ling te whole tts an the ) alee b) bye ) Bars Mayle Secuues urd a sc What the ralbtinehin etwaen the Snckbveng companies ar the en 2). enpleyer and ensiyee 5) ‘inci anc agent ©). binetal and cert 4 oaks ‘The responses of Replat of Comparies (REC) neue 1) Ingpesion aed invesigsion of corals i) fsuance of cealer-presectatiee lowe IM) cheatin te accouts er companies i) forage Sn esIncueae et 2) (only ») Manda 2 (dant ay 4) D.iihand Dutsa Malye Secs Sead mayo al ofthe Posey xc: 5 ©) vestige ad ace ape compl ty anon Paton 1) tity Parsons ca casting ron Sarat 8 Se supent eens pacar Were a contact forthe se of stare eet, to wham do the ght and oblgatos urder te contact coy? 2) Bors Malaya Secures Barhad 1) prover flan bates oro comes 3) hr partes ‘resin Shares meats ansactin of shares 3) betwean so deslosrprecontatvs in tee sane conpery ©) been cers tn Parting Oantn 1) mene ce above Marries stares means tensa o shores 2) berwean tne dies representative inthe sane oroany ») ‘napicon top cena Painatng Oeenitcon beeen we clentsof cfeent Patcbatna Draanisacens D noraat tie soe | parson ghing sce nay be ane te asi Halt 4, bebore ora the time of ging the adc, the parton makes caer that "oF die ateps ne resparaltyforh'sar her statement 3) ceraen 5) Sseuson lee ©) Satemen’| ) disiamer 19“Module 6 - Malaysian Stock Market & Securities Law 116, fern mislead by sttemere reses pay stare purchases by he. Now cana tckbréng fim ake up chins en fer cer WA OF he falling 2) ealiotre a 5 saneaw common iy Simin! 117. Soctrekng Company’ gh are 2) the gt tree a conmisien 1 theo tincomty @) therget taller ) Mlcttie sive S18. Charette of taleover 1) Bamariage betrmen two companies reughy cf quai sze 1, anecompany scqaresconra ar snemie’comy Ii) the direct and vec corto ave the meds of he acpues compar rsa othe sequer 1) neneofthe above 8) omy 5 Geo angi @ fvienh, SS akced the Malaysian Coe on Talaover 8 Merger 2) 4 caysafer date of dspatch of oe documents B) i eoysater ante or asartch ot ove documents ©) 3S cay afer dete of doptch of ser domumente er wl secon uncon er 220. Secon SASSER 73 orc. aronts i) 3 fabe or rislescng apnarance of ctne tadina any secures ona sock market 1) fae or rslescg apnacance at = uctton ihe reo ary sees on ack market iy. unpietrasacions aesigatad tre lower rantan er Sables a eleva pce |W) Quang 3 cango n the rotate cura 3 bung oreling eg te the series WH angen te banca owreshi 2) «eran © Gand gy Gand @) acrthe stove 5 the stocesaking company mist de the ceri ont pity 8 esoccrnking company rst make ul asc fe ac tht cna pra 9 the mccain eomeary mat dacboe the thas Sted bs underwies 0 tha eso Brave RS ‘ovca nay be ase fh) te Sockboting company mist discos the nae oft hens to cls so thatthe cents xno IS elves might bebased a) Garay 5) Garo) § 024.09 122. How much sthepldip Cpt equtemantfor each Parpating Oreaisacon? »Module 6 - Malaysian Stock Market & Securities Law / a) BM 10 itn 5 2) Hat too man M250 milan a Faticoeing Organsatn shal submit to Sichange iomaion on Capel Adeqvay Rate (CAR) ‘alan trough secroarameaen on daly as ie fy 20 pon te eee oe 0, 2) Tue ) fats 124,74 Paticiatina Orginiction mus submit to the Siehange through alaceane taremiion ithe Casal ‘Adecuacy Rat (CAR) 3) 4.42 ~ rey, aes 4.00 pan. on HSE (25) matt cy ofthe rtlnng week 1 110and pa — aut ty, eet 0 pm HH) between 1.10 snd 1.29, alpnt wesey NM) Or ese, suit renthy, te 490 9.m onthe ta calendar day after end e tte ronth 2) True ) ise EBS Wile te ong crc tet mantnaicet cts mn ci? 2) lr to maintain ety of tea 50% ath xt ace the agin ean 1) ceo tmp on ramet) Fin ese aD th Fares ition nthe eves Gaon ice fe pation ea fl iw ios wot or escent nt 19” Mmrg oss ms Ye ened ona ey bs a) (and c 5 theday ©) (dara (wy 4} Alotieetoes 125, Where a total vaconcy oncurs in the ofc of the Conoance Ofer, the Head of intemal Auctt ‘Deparment shal assumed the cies and rescondolles of the Compliance Oer fer per ot ‘veel vee (3) noms ») Tus 0) False 21