For the assessment, candidates are expected to be able to:

•  Identify the components, role and importance of a capital market;

•  Identify the relationship between capital market performance and economic indicators;

•  Outline the relationship between participants of the capital market;

•  Outline the regulatory framework of the Malaysian capital market industry;

•  Describe the organisation and structure of the relevant regulatory bodies and its roles and functions of regulatory bodies responsible for the various capital market laws and regulations;

•  Identify laws and regulations applicable to the Malaysian capital market;

•  Define the roles and functions of intermediaries in the capital market industries and the rules and regulations applicable to capital market intermediaries;

•  Describe the types of products and services, the activities that are regulated and permitted by the relevant laws and regulations in the capital market;

•  Describe the permitted activities, duties, rights and obligations of a marketing representative as prescribed by the Guidelines on Marketing Representatives;

•  Elaborate on the rules governing the relationship between a Marketing Representative, the principal and clients;

•  Recognise the offences related to market misconduct and prohibited conducts;

•  Elaborate on the requirements for reporting institutions to comply with as imposed under the Securities Commission Malaysia’s Guidelines on Prevention of Money Laundering, Countering Financing of Terrorism, Countering Proliferation Financing and Targeted Financial Sanctions for Reporting Institutions in The Capital Market;

•  Apply the procedures to conduct customer due diligence and techniques to detect clients’ unusual behaviour;

•  Explain risk-based approach application, record-keeping, suspicious transactions and confidentiality of reporting;

•  Recognise the importance of effective communication in establishing customer relationships;

•  Demonstrate the relevant marketing techniques products and services;

•  Identify prospect’s needs through effective questioning in uncovering prospective clients’ objectives; and

•  Discover the essential knowledge and skills required to present, convince and close the deal with prospective clients.