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By:
Arielle Lim
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Decks in this class (16)
C1. Code of Conduct for Malaysia Wholesale Financial Markets
Dealer brokers minimum fit and pr...,
Trainee dealer and trainee broker...,
In summary
10
cards
C2. Business Hours and Personal Conduct
Why is it important to have fixed...,
What is the international officia...,
What is the opening hours for mal...
16
cards
C3. The Front Office — Dealers and Dealing Practices
What is the difference between de...,
What is the relationship between ...,
What is
23
cards
C4. The Middle Office Practice
What are the ways to do trade sur...,
What are the procedures for indep...,
Is it right for front office to c...
10
cards
C5. The Back Office – Trade Standards and Practices
Can trades executed skip the conf...,
Should institution set up standar...,
Should institution set up standar...
7
cards
C.6 Use of Technology and General Security
Is the use of wireless mobile dev...
1
cards
C7. The Acts
Should bnm supervise financial ho...,
What does fsa ifsa provide legal ...,
What does fsa ifsa provide legal ...
20
cards
C8. Guidelines on Investor Protection
What is the objectives of the gui...,
Can erps carry out capital market...,
What is the minimum fit and prope...
8
cards
C9. Anti-Money Laundering and Anti-Terrorism Financing
What is money laundering,
What are the 3 stages of money la...,
What are the penalties for money ...
16
cards
C10. Malaysia Deposit Insurance System
What is the purpose of the pidm act,
What are the main functions of pidm,
What are the benefits provided by...
10
cards
C11. Introduction of New Products
What are the objectives of the gu...,
How do u define what is a new pro...,
How does management provide fair ...
8
cards
C12. Sales Practices of Unlisted Capital Market Products
Does guidelines on sales practice...,
If the guidlines are breached wha...
2
cards
C13. Lodge and Launch Framework
What are unlisted capital market ...,
What does the guidelines on unlis...,
What products do the guidelines c...
14
cards
C14. Corporate Bonds and Sukuk for Retail Investors
Does guidelines on issuance of co...,
Guidelines on seasoned corporate ...,
How do u define a responsible party
10
cards
C16. Structure of the Wholesale Market
What is wholesale market,
What are some characteristics of ...,
What are the common feature that ...
60
cards
C17. Bank Negara Malaysia Monetary Policy Framework and Foreign Exchange Policy
What are the 3 pillars of central...,
Monetary stability financial stab...,
How does the money supply changes...
39
cards
More about
PKMC M1
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