AUTOMATED TRADING SYSTEM EXAM QUESTION
Arrival, Business Relationship and Satisfaction
Pre-Arrival, Arrival, Business Relationship and Satisfaction
Marketing, Business Relationship, Verification, Contract Note and Bank
Marketing, Opening account, Paying cash, Execution of mandate and Contract note
Customer service & Compliance
Operations & Finance
Customer Service & Finance
Operation & Business Development unit
Front office
Back office
Settlement Office
Service Support Office
Service Support Unit
Customer Service
Front Office
Back Office
Create liquidity
Allocate scarce resources from savers to investors
Creates an avenue to save
Creates security for your asset
Rights Issue, Private Placement, Special Placement, Public Offer
Initial Public Offer, Public Offer, Private Placement
Initial Public Offer, Public Offer, Private Placement, Introduction
Initial Public Offer, Public Offer, Private Placement, Special Placement
Issuing house, Stockbroker, Reporting Accountant, Solicitor, AMCON
Issuing House, Stockbroker, Reporting Accountant, SEC, Registrar
Issuing house, Stockbroker, EFCC, Solicitor, Registrar
Issuing house, Stockbroker, Reporting Accountant, Solicitor, Registrar
Marketing, Liaising with CAC, Pricing, Allocation, Research & Listing
Marketing, Liaising with SEC, Pricing, Allocation, Research & Listing
Marketing, Liaising with NSE, Pricing, Allocation, Research & Listing
Marketing, Liaising with CBN, Pricing, Allocation, Research & Listing
I and II only
II and III only
II and IV only
I, II and III only
Report the case to the Chartered Institute of Stockbrokers
Report the case to the Nigerian Stock Exchange
Report the case to the Securities and Exchange Commission
None of the above
Bankruptcy of a Dealing Member Firm
Negligence of a Dealing Member Firm
Defalcation committed by employees of a Dealing Member Firm in the course of normal business.
As a result of unanticipated adverse market conditions and sentiment
Due Diligence Statement
Quarterly Financial Statement
Monthly Transaction Reports
Audited Financial Statement
Market Manipulation and Insider Trading
Fraud
Best Execution
Money Laundering and Terrorist Financing
The personal standards of behavior expected of a professional
The corporate standards of behavior expected of a professional
The personal and corporate standards of behavior expected of a professional
The corporate standards of behavior expected of a professional
Employees
Management
Employees, Management & Directors
Employees, Management, with the exclusion of Directors
To conduct their actions in accordance with its primary values and ethical standards
7
5
4
6
One-off customer identification procedure at account opening stage
Periodic assessment of customers transaction history
Continuous update, monitoring, assessment and reports on (i) and (ii) above to management and regulatory authorities
None of the above
5
3
4
2
Capital Association Market Correspondents Associates of Nigeria
Capital Market Correspondents Association of Nigeria
Capital Market Association of Nigeria
Commission Association Management Correspondents
Corporate Social Responsibility
Corporation of Society Responsibility
Corporate Social Relationship
Composition of Social Relations
Bell Ringing only
Bell Ringing and Facts Behind the Listing
Bell Ringing, Facts Behind the Listing, Facts Behind the Figures, Conferences
Trade Fair, Bell Ringing, Facts Behind the Figures, Facts Behind the Listing, Conferences
4
1
3
5
3
5
10
13
Mixing up many investors account
Mixing up all proprietary accounts
Mixing up all proprietary and clients’ assets
Mixing up all proprietary and clients’ shares
Increasing share volume/value
Decreasing share value/volume
Increasing/decreasing share volume/value
Increasing/decreasing share value/volume
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