This class was created by Brainscape user Nicole Masuku. Visit their profile to learn more about the creator.
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Nicole Masuku
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Decks in this class (32)
GENERAL
Define controlling body 1,
What is the purpose of the rules ...,
Who are the directives binding on 3
6
cards
Authorisations and Approvals_A
Define agency office 1,
Define branch office 2,
Define jse listed securities 3
12
cards
Authorisations and Approvals_B
What are the minimum conditions r...,
What must the dominant business a...,
In what circumstances will activi...
6
cards
Authorisations and Approvals_C
What are the requirements to perf...,
Can an authorised isp conduct tra...,
What must an isp do if it ceases ...
8
cards
Authorisations and Approvals_D
In what circumstances may the jse...,
What is the purpose of provisiona...,
What information must be furnishe...
7
cards
Management and Control_A
Define employee 1,
Define settlement officer 2,
Define alternate settlement offic...
10
cards
Management and Control_B
What are the prescribed duties of...,
Which examination is a person to ...,
Who must assume the responsibilit...
12
cards
Prudential Requirements_A
What are the minimum requirements...,
How frequently must a member reco...,
In extending credit to a client o...
13
cards
Trading_A
Define auction call session 1,
Define auction matching 2,
Define auction price 3
15
cards
Trading_B
Define agricultural derivatives 1,
Define order 2,
Define order entry application 3
12
cards
Trading_C
Define volatility auction call se...,
Are all transactions in equity se...,
What are the requirements for a p...
10
cards
Trading_D
What are the criteria for block t...,
What is a bookbuild trade 2,
What is a corporate finance trans...
10
cards
Trading_E
Under what exceptional circumstan...,
During what period may a member e...,
On what terms and conditions will...
12
cards
Trading_F
If an order submitted to the jse ...,
Trade cancellations what is a tsp...,
Having been granted permission to...
11
cards
FMA
What type of training must a memb...,
Compliance monitoring procedures ...,
Define inside information 3
6
cards
Client Assets_A
Define client assets 1,
Define controlled client account 2,
Define controlled client 3
7
cards
Client Assets_B
Define safeguarding 1,
A member may accept from or hold ...,
Before accepting equity securitie...
6
cards
Client Assets_C
What is a csp required to do when...,
What is a member required to do i...,
What are the 2 rules which cater ...
7
cards
Client Assets_D
What is a member required to do w...,
Clients funds may not be deposite...,
1 what must a tsp do prior to ent...
7
cards
Client Assets_E
What is a tsp who appoints a csp ...,
What is a tsp who appoints a csp ...,
What is a tsp who appoints a csp ...
6
cards
Settlement_A
Define certificated equity securi...,
Define contract note 2,
Define csdp 3
8
cards
Settlement_B
Define non controlled client 1,
Define registered owner 2,
Define ring fencing 3
7
cards
Settlement_C
Define terminating transaction 1,
Define uncertificated equity secu...,
Define uncommitted settlement 3
7
cards
Settlement_D
What are the settlement obligatio...,
Itemise 7 of a member s settlemen...,
What is a member required to do i...
5
cards
Settlement_E
On which unsettled transactions m...,
What are the principles in terms ...,
Who shall be responsible for the ...
3
cards
Complaints and Disputes_A
What are the criteria for a clien...,
What must a member s internal com...,
What must a member s internal com...
7
cards
Complaints and Disputes_B
To whom may a client lodge an unr...,
In what circumstances will a clie...,
Within what period must a complai...
6
cards
Complaints and Disputes_C
What are the only circumstances w...,
Within what period must a dispute...,
Within what period must a dispute...
10
cards
Complaints and Disputes_D
What process will the jse employ ...,
Who is responsible for the costs ...,
Against whom may an ombud as part...
3
cards
Supervision and Enforcement
Which activities or compliance is...,
Which persons may be questioned b...,
List 3 acts or practices which co...
6
cards
Default
When shall a member in terms of t...,
What are the rights of the jse if...,
In the case of a defaulting membe...
5
cards
Krugerrands
Define settlement period 1,
Do the provisions of the act and ...,
1 is a client entitled to claim o...
11
cards
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Equity Compliance
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