FPTR I Assessment Syllabus

FPTR 1 Assessment Syllabus



For July to December 2020 FPTR I Assessments 

Module 1

Introduction to the Securities Markets

  • Overview of the Securities Markets
  • The Stock Market and Stock Exchange
  • The Stock Indices
  • Primary and Secondary Market
  • Main Market, ACE Market and LEAP Market
  • Introduction to the Islamic Capital Market (ICM)

Module 2

Regulatory Framework of the Securities Market

  • Securities Industry Laws
  • Regulatory Bodies in the Securities Market
  • Regulated Activities

Module 3

Relationship between Participating Organisations (POs), CMSRLs, Trading Participants and Clients

  • Rules Governing the Relationship between POs, CMSRLs, Trading Participants and Clients
  • POs’ Duties to Clients and obligations of TRs

Module 4

Anti-Money Laundering and Protection of Clients’ Information

  • Guidelines on Prevention of Money Laundering and Terrorism Financing for Capital Market Intermediaries
  • Protection of Client’s Information

Module 5

Negligent Misstatement

  • Negligence and statement
  • Precondition for liability
  • Statutory liability
  • Reasonable basis and the “Know Your Client” rule

Module 6

Licensing Handbook

  • Licensing Framework
  • Licencing Requirements
  • Obligations of the Licensed Person
  • Dealer’s Representative (DRs)
  • Trading Representatives (TRs)

Module 7

Types of Securities Offences

  • Short Selling
  • Market Misconduct and Other Prohibited Conduct
    • Short Selling
    • False Trading and Market-rigging Transactions
    • Stock Market Manipulations
    • False or Misleading Statements in Relation to Securities
    • Fraudulently Inducing Persons to Deal in Securities
    • Use of Manipulative and Deceptive Devices
    • Dissemination of Information about Illegal Transactions
    • Person in Possession of Inside Information
    • Market Abuses and Unethical Business Conduct
  • Clients’ Rights and Penalties for Contravention

Module 8

Trading on Bursa Malaysia

  • Central Depository System (CDS)
  • Automated Trading System (ATS)
  • Delivery and Settlement
  • Trading Phases and Market Timing
  • Order Types and Validity Types
  • Margin Account and Margin Financing
  • The Fixed Delivery & Settlement System (FDSS)
  • Delivery and Settlement Time for On-Market Transactions and Direct Business Transactions
  • Circuit Breaker and Trading Halts

Module 9

Introduction to Financial Statement Analysis

  • Importance of Financial Statement Analysis
  • Relationship between Share Price and Company Profits
  • Introduction to Financial Statements

Module 10

Elements of Financial Statements

  • Introduction to the Balance Sheet/Statement of Financial Position
  • Items in the Balance Sheet/Statement of Financial Position
  • Introduction to Income Statement/Statement of Comprehensive Income
  • Introduction to Statement of Changes in Equity or Comprehensive Income/Statement of Changes in Equity
  • Introduction to Cash Flow Statements/Statement of Cash Flows

Module 11

Introduction to Capital Market Products and Services (Features, Characteristics and Risks)

  • Equity – Ordinary Shares, Warrants
  • Fixed Income – Government Bonds, Private Debt Securities
  • Hybrid Securities – Preference shares, Convertible bonds, Structured Products
  • Money Market Instrument – Treasury Bills, Negotiable Instruments of Deposit (NIDs), Bank Negara Monetary Notes
  • Investment Products – Private Retirement Scheme, Unit trust, Real Estate Investment Trust
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