This class was created by Brainscape user Mukelwe Mdluli. Visit their profile to learn more about the creator.
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Mukelwe Mdluli
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Decks in this class (18)
Equity Compliance General
Controlling body 1,
Purpose of the rules and directiv...,
On who are the directives binding 3
6
cards
Equity Compliance: Authorisation & approvals
Define agency office 1,
Define a branch office 2,
Define jse listed securities 3
34
cards
Big Mark Questions
What are the requirements to be a...,
Requirements to be met by a membe...,
Information that must furnished t...
7
cards
Market Conduct
What type of training must a memb...,
Compliance monitoring procedures ...,
Inside information 3
6
cards
Management And Control
Define employee 1,
Settlement officer 2,
Alternate settlement officer 3
21
cards
Prudential Requirements
Minimum requirements of the fma r...,
How frequently should a member re...,
In extending credit to a client o...
26
cards
Trading
Auction call session 1,
Define auction matching 2,
Define auction price 3
40
cards
Conduct of Business
Foreign client 1,
Foreign investment 2,
What type of advice is included i...
30
cards
Default
When is a member in default 1,
What are the rights of the jse if...,
How should jse settle open transa...
5
cards
Krugerrands
another short section
10
cards
Client Assets
Define client assets 1,
Define controlled client account 2,
Define controlled client 3
34
cards
Settlements
Define certificated equity securi...,
Define contract note 2,
Define csdp 3
25
cards
Complaints and Disputes
What are the criteria for a clien...,
What must a member s internal com...,
What must a member s internal com...
25
cards
Supervision and Enforcement
Which activities or compliance is...,
Which persons may be questioned b...,
List 3 acts or practices which co...
6
cards
Trading Part 2
Under what circumstances may the ...,
What is a late trade 2,
What is a delta trade 3
28
cards
Conduct of Business 2
What is the minimum information t...,
What is the minimum information t...,
Is a member permitted to open a c...
25
cards
Settlements 2
What is a member required to do i...,
Having notified the sa that a cli...,
What is a member specifically pro...
6
cards
Conduct of Business 3
What are the two types of bank ac...,
If a member conducts money brokin...,
If a member accepts funds from a ...
35
cards
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SAIFM Exams
- Class purpose General learning
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