SIDC Module 19 case studies

SIDC Module 19 · Put your knowledge to work in context.

SIDC Module 19 is not described anywhere in the source material available for this page, so this introduction cannot tell you what the credential is, who it is for, what the exam covers, or how to prepare for it without inventing facts. The source is the home page of the Securities Industry Development Corporation (SIDC), which describes itself as "Malaysia's leading capital market learning and development institution and the training arm of the Securities Commission Malaysia (SC)" and states it was established in 1994. The SIDC Module 19 case studies are 5 cases and about 5,968 words.

The 3x Leveraged Note and the Missing Target

Priya is a dealing representative at a mid-sized broking house. Her client, Mdm Tan, 68 and retired, holds a portfolio of RM 480,000, of which 85% sits in a single property-linked counter.

1,172 words, about 6 min 2

The 62-Basis-Point Pricing Error

The trustee of a unit trust fund with RM 620 million in net asset value is notified on a Tuesday that the fund's administrator used a stale broker quote for an illiquid corporate bond for three consecutive business days - Thursday, Friday and Monday. The mispricing overstated the fund's NAV by 0.62%.

1,164 words, about 6 min 3

Nine Deposits Just Under the Threshold

Faizal, a client service officer at a broking firm, notices unusual activity on an account opened seven months ago in the name of a 34-year-old "management consultant". Over five weeks the account received nine cash deposits of between RM 23,000 and RM 24,500 each - just under the RM 25,000 cash threshold the firm uses to trigger a cash transaction report.

1,132 words, about 6 min 4

8 Million Shares, a Chat Group and a Buy Note

At 09:12 a sales trader at a broking firm receives an institutional order to sell 8 million shares of a mid-cap company - roughly four days' average volume - to be worked over three days and kept strictly confidential. At 11:40 the firm's proprietary desk sells 400,000 shares of the same counter.

1,229 words, about 6 min 5

Allocation Day at the Bookrunner

A boutique investment bank is bookrunner for an RM 900 million IPO that is 25 times oversubscribed in the institutional tranche. Three allocation requests land on the bookrunner's desk: (a) the bank's own fund management affiliate asks for 15% of the institutional tranche; (b) a corporate client that generates roughly 30% of the bank's annual brokerage commissions asks for a large allocation and hints it will "remember this at the next mandate"; (c) a vehicle controlled by a sibling of the issuer's finance director asks for shares in the retail tranche, which is 12% of the offer.

1,271 words, about 6 min