Skip to content
- Appendix A — CAR: education/professional qualification, six listed-SIP transactions in three years, or three consecutive years’ relevant work in ten years; independent learning may help.
- Appendix B — CKA: education/professional qualification, six relevant unlisted transactions in three years (with separate CIS/ILP treatment), or three consecutive years’ relevant work; approved learning may help.
- Appendix C — overseas-listed risk warning: regulatory, legal, disclosure, repatriation, tax, currency, fee, counterparty and political/economic/social risks.
- Appendix D — EIPs: refers to the class listed in the Schedule to the Securities and Futures (Capital Markets Products) Regulations 2018.
- Appendix E — suspicious transactions: the same categories of economically irrational activity, cash, account, foreign-transfer, unidentified-party, tax and terrorism-related red flags explained in the shared Chapter 7.
- Appendix F — Review Questions: the 15 source questions cover licensing changes, cessation of regulated activity, five-year records, hunting for stops, forms of market misconduct, front-running, OTC products, the ethical framework, back-tested performance, best execution, CKA exemptions, regulatory risk, the principal AML statute, sanctions-list action and the fact that terrorism financing may involve legitimate funds and need not involve large amounts.
- Appendix G — Essential Readings: SFA; SFR(LCB); SFR(FMR); PDPA; CDSA; MACMA; TSOFA; Income Tax Act; GST Act; MAS guidance on CMS licensing, competency, fit-and-proper criteria, sale of investment products, OTC derivatives and AML/CFT; and SGX, ICE Clear Singapore, APEX and APEX Clear rules and procedures.