SHARES

SHARES: SELF INTRODUCTION & HANDLING OF ACCOUNT AND SALES CONDUCT

The section gives example of how dealers/remisiers should conduct themselves.

Yes
No
1. Is your remisier/dealer representative licensed by Securities Commission Malaysia?
2. Do you make payments to your remisier/dealer representative's account?
3. Does your remisier/dealer representative trade on your behalf?
4. Does your remisier/dealer representative disclose all of the risks, benefits and possible conflicts of interest related to the investment?
5. Do you receive receipts, statements, etc. relating to your account?
6. Do you feel that your remisier/dealer representative's advice is not suitable to your means and risk appetite?
7. Do you understand the products you’re investing in and their risks?
8. Does your remisier/dealer representative ensure all sale proceeds and any amount payable are issued to you directly and not to any other person(s)?
9. Does your remisier/dealer representative remind you to make cheques in the [name of the stockbroking company] for [name of the customer], when issuing cheques to the company?
10. Does your remisier provide ‘hot tips’ on stocks either personally to you or on social media?
cautionYou may need to review your understanding in handling of your investment accounts. Please go through the questions again.

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