JSE Equity Compliance Officer Practice Questions - JSE Equity Compliance Officer Examination (SAIFM) Exam

Under JSE Equities Rules, what is the primary role of a designated Equity Compliance Officer within a member firm?

Maximizing proprietary trading revenue and managing market maker spreads Ensuring member firm adherence to FMA 2012, JSE Rules, Directives, and internal compliance controls Executing client equity orders directly on the JSE central order book Signing off on annual tax returns submitted to SARS

Correct Answer:

Ensuring member firm adherence to FMA 2012, JSE Rules, Directives, and internal compliance controls

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