FMRP Set 1
SGD 29.90
2 July 2020
FMRP Exam Question
Which of the following describes the situation whereby an employee executes a personal trade in advance of a client’s or institutional order to benefit from an anticipated movement in the market price following the execution of a large trade?
a) Front riding.
b) Back running.
c) Overriding.
d) Front running.
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FMRP Set 2
SGD 29.90 Add to cart2 July 2020
FMRP Exam Question
Any third-party rendering support for revaluation of a transaction is expected to assume specific responsibility.
a) True.
b) Not true.
c) Not true unless these services are contractually governed.
d) Not true if inter alia is practiced.
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M1A Set 2
SGD 29.90 Add to cart2 July 2020
CMFAS M1A Exam Question
The expense ratio refers to the ongoing costs of operating a fund by fund managers expressed as a percentage of the fund's:
a) average net assets
b) total net assets
c) average return on investment
d) total return on investment
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M1B Set 2
SGD 29.90 Add to cart2 July 2020
CMFAS M1B Exam Question
Which of the following goods and services qualify as acceptable soft dollar receipts?
a) Premises expenses
b) Employees' salaries.
c) Direct money payment.
d) Referral fees under a referral agreement.
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M1B Set 1
SGD 29.90 Add to cart2 July 2020
CMFAS M1B Exam Question
A Representative must not directly or indirectly deal in securities which involve no change of beneficial ownership. The Representative’s only defence is if he or she can show that they had no reason to suspect that the transaction was a:
a) swap sale
b) wash sale
c) trade sale
d) time sale
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M1A Set 1
SGD 29.90 Add to cart2 July 2020
CMFAS M1A Exam Question
A contract made on SGX-ST can be cancelled only if:
a) delivery fails
b) payment is not made on delivery
c) the share registrar refuses to register a transfer
d) the CMS licence holders to an error trade have agreed to the cancellation
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SCI BCP Set 2
SGD 14.95 Add to cart2 July 2020
BCP Exam Question
Which of the following are “Proportional” types of Reinsurance?
a) Facultative Excess of Loss.
b) Surplus Treaty.
c) Excess of Loss Treaty.
d) Excess of Loss Ratio Treaty.
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M5 Set 2
SGD 29.90 Add to cart2 July 2020
CMFAS M5 Exam Question
Under the Securities and Futures Act (SFA), an accredited investor cannot be a/an:
a) individual
b) corporation
c) limited liability partnership
d) trustee of a trust
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SCI BCP Set 1
SGD 29.90 Add to cart2 July 2020
BCP Exam Question
Which of the following methods is used to ensure that an insured person does not get more than an indemnity by claiming for the same loss or damage from two insurance policies?
a) Subrogation.
b) Sublet.
c) Right of Lien.
d) Assignment.
