Under the SGX-ST Rules on Advertising Guideline, a Member, Approved Trader and Registered Representative must ensure that any advertising or market material use

I     Shall be true to the best of their knowledge

II    Shall make no promises or guaranteed to profits

III   Shall not misrepresent the authorization, license or permission, which they possess from the respective regulatory body

IV    Shall be limited to designated layout and font size stated by SGX-DT

Under the “Customer’s Money and Assets” regulations, “Customer”, in relation to the Licensee, does not include:

I     The Licensee in carrying out any regulated activity for its own account;

II    An authorized representative of the customer;

III   A related corporation of the Licensee with respect to an account belonging to and maintained wholly for the benefit of that related corporation

Which of the following is considered a Market Misconduct offence under the Securities and Futures Act (SFA)?

I     Fraudulently Inducing Persons to Trade in Futures Contracts

II    Dissemination of Information about Illegal Transactions

III   Manipulation of Futures Prices of Futures Contract and Cornering

IV    Employment of Fraudulent or Deceptive Devices

What would happen if a member has insufficient funds in his CPF Ordinary or Special account to pay for his investment

Money laundering is an offence in Singapore under the _______

Can you afford to FAIL and RETAKE the CMFAS M1B Exam?