SIDC Module 10 case studies

SIDC Module 10 · Put your knowledge to work in context.

SIDC Module 10 is one paper within the SC Licensing Examinations (SCLE), the regulatory programme listed on the Securities Industry Development Corporation (SIDC) site. SIDC describes itself as the learning and development arm of the Securities Commission Malaysia (SC) and states it was established in 1994, with more than 30 years of experience delivering capital market and regulatory training. The SIDC Module 10 case studies are 5 cases and about 5,273 words.

The Autocallable Note and the Retired Principal

Faridah is 61 and retired last year from teaching. Investable assets: RM620,000 - RM300,000 from an EPF withdrawal, RM240,000 in fixed deposits maturing next month, and RM80,000 in a money market fund.

1,028 words, about 5 min 2

Twenty-Eight Deposits Just Under the Threshold

Ravi, 34, is a logistics manager earning RM6,500 a month. Eight months ago he opened a cash trading account with a Kuala Lumpur broker.

1,039 words, about 5 min 3

Redemptions, a Stale Sukuk Price and Two Sets of Unitholders

Amanah Sejahtera is a RM1.2 billion Malaysian bond unit trust. Over five business days it has received redemption requests equal to 15% of net asset value, mostly from two institutional holders who gave no advance notice.

1,004 words, about 5 min 4

The WhatsApp Group, the Discretionary Favour and the Lapsed CPE

Daniel holds a capital markets services representative licence at an investment bank, where his approved role is corporate finance execution. In his own time he runs a WhatsApp group of about 140 people.

1,147 words, about 6 min 5

The Block Order, the Personal Account and the Brother-in-Law

At 09:40 a fund management client calls Sofia, a dealer's representative at a Kuala Lumpur brokerage, and places a buy order for 8 million shares in a mid-cap construction counter. The stock's 20-day average daily volume is 1.5 million shares.

1,055 words, about 5 min