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Lwando Mbanguta
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Decks in this class (46)
General
Define controlling body 1,
What is the purpose of the rules ...,
Who are the directives binding on 3
6
cards
Market Conduct
What type of training must a memb...,
Compliance monitoring procedures ...,
Define inside information 3
6
cards
Supervision & Enforcement
Which activities or compliance is...,
Which persons may be questioned b...,
List 3 acts or practices which co...
6
cards
Default
When shall a member in terms of t...,
What are the rights of the jse if...,
In the case of a defaulting membe...
5
cards
Krugerrands
Define settlement period 1,
Do the provisions of the act and ...,
1 is a client entitled to claim o...
11
cards
Complaints and Disputes (Part I)
What are the criteria for a clien...,
What must a member s internal com...,
What must a member s internal com...
9
cards
Complaints and Disputes (Part II)
Within what period must a complai...,
Will an unresolved complaint that...,
What action will be taken by the ...
9
cards
Complaints and Disputes (Part III)
In reaching a decision may an omb...,
Does an ombud have the discretion...,
Is an ombud s decision regarding ...
8
cards
Management and Control (Part I)
Define employee 1,
Define settlement officer 2,
Define alternate settlement offic...
7
cards
Management and Control (Part II)
What results in immediate disqual...,
Members require the written conse...,
Which examination is a person to ...
7
cards
Management and Control (Part III)
Can a member conduct its business...,
Which employees of a member may e...,
What is a person other than a sto...
8
cards
Settlement (Part I)
Define certificated equity securi...,
Define contract note 2,
Define csdp 3
7
cards
Settlement (Part II)
Define margin 1,
Define non controlled client 2,
Define registered owner 3
8
cards
Settlement (Part III)
Define terminating transaction 1,
Define uncertificated equity secu...,
Define uncommitted settlement 3
7
cards
Settlement (Part IV)
What are the settlement obligatio...,
Itemise 7 of a member s settlemen...,
What is a member required to do i...
8
cards
Client Assets (Part I)
Define client assets 1,
Define controlled client account 2,
Define controlled client 3
8
cards
Client Assets (Part II)
A member may accept from or hold ...,
Before accepting equity securitie...,
What is a csp required to do rega...
7
cards
Client Assets (Part III)
What are the 2 rules which cater ...,
Before accepting certificated equ...,
Itemise 4 control procedures in t...
8
cards
Client Assets (Part IV)
If a settlement agent has been ap...,
What are the key objectives regar...,
The csp is ultimately responsible...
10
cards
Prudential Requirements (Part I)
What are the minimum requirements...,
How frequently must a member reco...,
In extending credit to a client o...
7
cards
Prudential Requirements (Part II)
What criteria must be met to incl...,
Itemise 6 types of assets which a...,
From the following information ca...
8
cards
Prudential Requirements (Part III)
How is counterparty risk on unset...,
How is counterparty risk on the f...,
How is counterparty risk calculat...
7
cards
Prudential Requirements (Part IV)
A member whose adjusted liquid ca...,
A csps records reflect that it is...,
What is the minimum amount of pro...
7
cards
Authorisations and Approvals (Part I)
Define agency office 1,
Define branch office 2,
Define jse listed securities 3
8
cards
Authorisations and Approvals (Part II)
Define trading services provider 1,
What regulated services are autho...,
What regulated service must an ap...
9
cards
Authorisations and Approvals (Part III)
What are the requirements to perf...,
What are the requirements to perf...,
Can an authorised isp conduct tra...
8
cards
Authorisations and Approvals (Part IV)
How many days written notice must...,
In what circumstances may the jse...,
What is the purpose of provisiona...
8
cards
Trading (Part I)
Define auction call session 1,
Define auction matching 2,
Define auction price 3
10
cards
Trading (Part II)
Define jse equities trading system 1,
Define market controller 2,
Define market order 3
10
cards
Trading (Part III)
Define pre issued securities 1,
Define price monitoring extension...,
Define professional client in rel...
10
cards
Trading (Part IV)
What are members accessing jse sy...,
When and who reports off book tra...,
What is a block trade 3
10
cards
Trading (Part V)
What is a portfolio transaction 1,
Under what circumstances may the ...,
What is a late trade 3
10
cards
Trading (Part VI)
What are the consequences if a li...,
Under what circumstances may the ...,
During a trading halt may a member 3
10
cards
Trading (Part VII)
What is a tsp seeking permission ...,
Having been granted permission to...,
What is a tsp who is unable to su...
10
cards
Conduct of Business (Part I)
Define foreign client 1,
Define foreign investment 2,
What type of advice is included i...
8
cards
Conduct of Business (Part II)
Define money broking transactions 1,
Define unsolicited call 2,
What are the general standards of...
8
cards
Conduct of Business (Part III)
What are the general standards of...,
What are the general principles t...,
What is the specific principle th...
8
cards
Conduct of Business (Part IV)
A member is requested to establis...,
What must the controls and proced...,
What is the general principle reg...
8
cards
Conduct of Business (Part V)
Is a member permitted to open a c...,
Unless the client is a bank or a ...,
Other than obtaining the informat...
8
cards
Conduct of Business (Part VI)
Other than the agreed commission ...,
By what time is a member required...,
What shall a contract note or ele...
8
cards
Conduct of Business (Part VII)
In exercising discretion in the m...,
In exercising discretion in the m...,
In providing advice in respect of...
8
cards
Conduct of Business (Part VIII)
If a member conducts money brokin...,
If a member accepts funds from a ...,
What is the maximum amount of cas...
8
cards
Conduct of Business (Part IX)
What records are required to be k...,
By when must all purchases and sa...,
What is a member required to demo...
8
cards
Conduct of Business (Part X)
How are transactions placed into ...,
What is the main objective in ens...,
What client information must a me...
8
cards
Conduct of Business (Part XI)
Under what circumstances is a csp...,
What procedures are required to b...,
If a csp wishes to dematerialise ...
8
cards
Conduct of Business (Part XII)
Are members knowingly permitted t...,
If a member wishes to repledge li...,
If a client has paid in full for ...
7
cards
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Equity Compliance
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