SIDC Module 19 Practice Questions - SC Licensing Examination Module 19 - Advisory Services Rules And Regulations (SIDC, Malaysia) Exam

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Under Schedule 4 of the Capital Markets and Services Act 2007 (CMSA), which of the following entities is exempt from the requirement to hold a Capital Markets Services Licence (CMSL) for advising on corporate finance?

A boutique financial planning corporation registered under the Financial Services Act 2013 A licensed bank, licensed investment bank, or licensed Islamic bank under the Financial Services Act 2013 A foreign-incorporated management consulting firm providing strategic advisory services in Malaysia Any public listed corporation on the Main Market of Bursa Malaysia when issuing its own shares

Correct Answer:

A licensed bank, licensed investment bank, or licensed Islamic bank under the Financial Services Act 2013

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