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Module 6 Prep Course

Asia/Kuala_Lumpur
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OVERVIEW

Please read the materials in this section carefully before you begin your studies. It details the module objectives, the outline and the requirements you must fulfil to successfully complete the examinations. This examination is designed to assess candidates' knowledge and understanding of the rules and regulations governing the Malaysian equity market. It is one of the examinations that must be passed by individuals who:

  1. intend to apply for a Capital Market Services Representative's Licence (CMSRL) to carry on the regulated activity of dealing in securities;

  2. intend to hold the following positions in a firm that holds a holder of a Capital Markets Services Licence (CMSL), for carrying on the business of dealing in securities:

    • Head of Operations
    • Head of Compliance
    • Compliance Officer;
  3. intend to be employees of registered persons who carry out the capital markets activities as stipulated in Item 1 of Part 1 of Schedule 4 of the Capital Markets and Services Act 2007.

Candidates are advised to refer to the Licensing Handbook for detailed information on the combination of examinations required for each regulated activity.

REFERENCESStudy Outline & eGuide

  • Module 6: Stock Market Securities Law (Study Outline) – Click Here
  • Module 6: Stock Market Securities Law (eGuide) – Click Here

 Prescribed Reference Material

  1. Securities Commission Act 1993
  2. Capital Markets and Services Act 2007
  3. Rules of Bursa Malaysia Securities Berhad
  4. Bursa Malaysia Securities Berhad Participating Organisations' Trading Manual
  5. Rules of Bursa Malaysia Securities Clearing Sdn Bhd
  6. Guidelines on Prevention of Money Laundering and Terrorism Financing for Reporting Institutions in the Capital Market
  7. Guidelines on Implementation of Targeted Financial Sanctions Relating to Proliferation Financing for Capital Market Intermediaries
  8. Guidelines on Market Conduct and Business Practices for Stockbrokers and Licensed Representatives
  9. Guidelines on Conduct for Capital Market Intermediaries
  10. Guidelines on Unlisted Capital Market Products under the Lodge and Launch Framework
  11. Guidance Note on Provision of Investment Advice
  12. Bursa Malaysia Securities Berhad Main Market Listing Requirements
  13. Bursa Malaysia Securities Berhad ACE Market Listing Requirements
  14. Bursa Malaysia Securities Berhad LEAP Market Listing Requirements
  15. Licensing Handbook

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