Which of the following circumstance is NOT acceptable for the disclosure of customer’s information under the SGX-ST rules (Assuming customer has not given consent for the disclosure)

During the non-cancel phase of the closing routine

I     No input, amendment and withdrawal of orders are allowed

II    Orders that can be matched are matched at a single price computed based on an algorithm set by SGX-ST

III   The computed price will be the closing price for the day

A Licensee ______ invest customer’s moneys it held for trust for customers, and _______ advance its own moneys into the customer trust account

Which of the following statement/s is/are true regarding civil liabilities for market conduct under the SFA

I     Civil action cannot be taken if the defendant had been convicted or where a civil penalty imposed on him

II    If criminal proceedings or proceedings for a civil penalty are brought, the action for damages must be stayed pending resolution of these other proceedings

III   A person who is convicted of an offence of insider-trading, in addition to any penalty such as a fine or imprisonment, or a fine and imprisonment is also liable to pay compensation to investors who suffered losses

A buying customer must pay _______ for the shares purchases

Can you afford to FAIL and RETAKE the CMFAS M1A Exam?