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Last Updated: Jun 20, 2026
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1. The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:
A) escalating any reports to board level
B) disciplining staff proven to have breached rules
C) ensuring all staff have a named reporting contact
D) protecting the reporting employee
2. What is the maximum term of imprisonment that can be imposed on a person who attempts to commit the crime of money laundering?
A) Five years
B) Seven years
C) Ten years
D) Three years
3. If the mid-point is used to determine the theoretical auction price for a pre-closing session of the DFM, it is:
A) rounded up to the nearest price tick
B) rounded to two decimal places
C) rounded to one decimal place
D) rounded down to the nearest price tick
4. What proportion of the market value of securities owned by a brokerage company are used to increase the value of its guarantee?
A) 80%
B) 50%
C) 70%
D) 60%
5. The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:
A) escalating any reports to board level
B) disciplining staff proven to have breached rules
C) ensuring all staff have a named reporting contact
D) protecting the reporting employee
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: A | Question # 3 Answer: A | Question # 4 Answer: C | Question # 5 Answer: D |
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