The SIDC Module 9 Examination comprises of 30 questions, time given is 60 minutes and the passing mark is 60%.
SC Licensing Exam Module 9 (Set 2)
RM49.90
60 Questions + Answers
4 Sep 2025
SIDC Module 9 Exam Question
Which of the following is not an annual reporting requirement for fund management companies?
a) Statement of financial resources
b) Statement of total risk requirement
c) Statement of appointed auditors
d) Aggregate indebtedness
Related Products
-
SC Licensing Exam Module 9 (Set 1)
RM49.90 Add to cart60 Questions + Answers
4 Sep 2025
SIDC Module 9 Exam Question
Which of the following is included in the calculation of the financial resources of a fund management company?a) Base capital
b) On-balance sheet assets
c) Off-balance sheet assets
d) Total risk requirement
-
SC Licensing Exam Module 10 (Set 2)
RM49.90 Add to cart60 Questions + Answers
4 Sep 2025
SIDC Module 10 Exam Question
The allotment of Exchange Traded Funds in an investment portfolio can help diversify against:a) Unsystematic risk
b) Systemic risk
c) Liquidity risk
d) Operational risk
-
SC Licensing Exam Module 10 (Set 1)
RM49.90 Add to cart60 Questions + Answers
4 Sep 2025
SIDC Module 10 Exam Question
Which of the following terms is defined as the difference between the expected return on an investment portfolio and the risk-free rate?a) Alpha
b) Beta
c) Standard Deviation
d) Market risk premium
Related products
-
SC Licensing Exam Module 17 (Set 1)
RM89.90 Add to cart100 Questions + Answers
4 Sep 2025
SIDC Module 17 Exam Question
Which of the following statements regarding orders is false?a) Where the customer's order is a careful discretion order, trades allocated to the house error account must not be worse off to that allocated to customer's account.
b) A Representative can execute an order that will have an impact on the market for, or price of, a security or Futures Contract.
c) A Representative is not allowed to purchase substantial volume in a thinly traded counter, which accounts for a large proportion of the market volume, to establish a predetermined price.
d) A Representative should be alert to orders placed near the close on the last trading day of the month, quarter or year.
-
SC Licensing Exam Module 11 (Set 2)
RM49.90 Add to cart60 Questions + Answers
4 Sep 2025
SIDC Module 11 Exam Question
Which of the following statements regarding a Participating Organisation is false?a) Compliance staff of a Participating Organisation may perform roles such as that of an in-house legal counsel.
b) A Participating Organisation should have an independent compliance function with staff who are suitably qualified and independent from the front office.
c) A Participating Organisation should designate a senior staff from the front office to be responsible for compliance.
d) A Participating Organisation may engage an external service provider to support its compliance arrangements.
-
SC Licensing Exam Module 19 (Set 1)
RM49.90 Add to cart60 Questions + Answers
4 Sep 2025
SIDC Module 19 Exam Question
Which of the following situations does not have an element of suspicious trading?a) Several orders for small quantities placed close together at increasing or decreasing prices to create a layer of buy/sell orders in the market.
b) Excessive use of forced keys in entering orders.
c) Multiple orders entered during pre-opening and pre-close trading phases.
d) Orders placed on both the buy and sell side of the market at a similar price and time by the same Representative.
