Insider Trading and Stock Market Manipulation Quiz

True (A)

Ten years

<p>acquire, dispose of, or enter into an agreement with a view to the acquisition or disposal of</p> Signup and view all the answers

<p>Insider Trading = Imprisonment for a term not exceeding ten years and a fine of not less than one million ringgit Communicating non-public information to another person with the intention of influencing their trading activities = Imprisonment for a term not exceeding ten years and a fine of not less than one million ringgit Administrative Actions = Penalty Level Not Specified in the Provided Content</p> Signup and view all the answers

<p>Long-Term Investing (A)</p> Signup and view all the answers

<p>True (A)</p> Signup and view all the answers

<p>Painting the tape involves manipulators trading securities among themselves, creating a false impression of high trading volume and demand for the stock, which may entice other investors to buy.</p> Signup and view all the answers

<p>pool</p> Signup and view all the answers

<p>Pools = Involves spreading false or negative information about a company to drive down its stock price. Churning = Involves creating the illusion of heavy trading activity by trading amongst themselves. Stock Bashing = Involves investors agreeing to buy or sell stock in bulk to influence its price. Painting the Tape = Involves excessive trading of a security to generate commissions for a broker, often at the expense of the investor.</p> Signup and view all the answers

<p>To decrease the price of a stock. (C)</p> Signup and view all the answers

<p>False (B)</p> Signup and view all the answers

<p>A bear raid is a concerted effort by a group of investors to drive down the price of a stock by short-selling the stock and spreading negative news about the company. The intention is to profit from the decline in price and potentially take control of the company.</p> Signup and view all the answers

<p>Concealing material facts dishonestly. (A), Recording false information in a device and making it available to others. (B), Making false or misleading statements. (C), Publishing reckless and misleading forecasts. (D)</p> Signup and view all the answers

<p>True (A)</p> Signup and view all the answers

<p>Fraudulent Inducing</p> Signup and view all the answers

<p>financial performance</p> Signup and view all the answers

<p>Section 178(1) = Fraudulent Inducing Section 183 = Insider Trading - Definition of Information Section 182 = Penalties for Violations Section 178(2) = Defence Against Recording False Information</p> Signup and view all the answers

<p>All of the above. (D)</p> Signup and view all the answers

<p>True (A)</p> Signup and view all the answers

<p>One million ringgit</p> Signup and view all the answers

<p>Public Statements (B)</p> Signup and view all the answers

<p>True (A)</p> Signup and view all the answers

<p>Civil actions and regulatory settlements</p> Signup and view all the answers

<p>compound</p> Signup and view all the answers

<p>Breach of section 354(1)(a) of the Capital Markets and Services Act 2007 = Restitution, Directives, Refusal to accept or consider any submission to the SC under Part VI of the CMSA Insider Trading = Imprisonment, Fines Submission of misleading information to SC in connection with a proposal = Compound, Criminal prosecution False trading and market rigging transaction = Restitutions, Restrained from trading in the stock exchange, Barred from becoming a director,Bursa Malaysia</p> Signup and view all the answers

<p>Rule 510.2 (B)</p> Signup and view all the answers

<p>True (A)</p> Signup and view all the answers

<p>Five thousand ringgit for every day or part of a day that the offense continues after conviction.</p> Signup and view all the answers

<p>Providing false information to a stock exchange. (A), Contravening any provision of Part VI of the Act or any regulations made under the Act. (B), Failing to comply with the rules of a recognized self-regulatory organization. (D)</p> Signup and view all the answers

<p>supply, demand</p> Signup and view all the answers

<p>Accepting orders from clients for contracts without causing such orders to be executed on an Exchanged or in accordance with the rules, by-laws, regulations, customs, and practice of such Exchanged = Failing to execute client orders properly Being guilty of fraud or any Act of bad faith or of any dishonest conduct = Engaging in fraudulent or dishonest activities Making or reporting a false or fictitious trade = Creating a false impression of trading activity Knowingly acting as both buyer and seller in the same transaction except when permitted under the Rules = Engaging in insider trading Manipulating prices or attempting to manipulate prices or to corner or attempt to corner any contract in the market = Engaging in market manipulation Making a material miss-statement to the Exchanged or to a committee, or an any information supplied to the Exchanged of its officers = Providing false or misleading information to the Exchange Knowingly disseminating false or misleading reports concerning market information or conditions that may affect the price of any instrument = Spreading false or inaccurate information about market conditions</p> Signup and view all the answers

<p>True (A)</p> Signup and view all the answers

<p>One million ringgit</p> Signup and view all the answers

<p>restitution</p> Signup and view all the answers

<p>Section 354(1) = Defines breaches related to non-compliance with rules or provisions Section 357(1) = Outlines civil liability for losses due to violations of Part VI Section 360(1) = Empowers the court to issue orders related to contraventions Section 372(1) = Specifies the general penalty for violating the Act</p> Signup and view all the answers

Encouraging others to deal in securities through misleading actions.

Four actions that constitute fraudulent inducing: misleading statements, concealment of facts, reckless publishing, and false information storage.

A defense in prosecution for storing misleading information if there were no reasonable grounds for expecting availability.

Violation of specified sections results in up to ten years imprisonment and a fine of at least one million ringgit.

Trading based on confidential information not yet public, relating to securities.

Includes vague or speculative matters, financial performance, and intentions affecting market trades.

Key information that can influence an investor's decision regarding securities.

False or misleading information stored or communicated that influences others in securities dealings.

Official expressions of disapproval for misconduct in financial markets.

Illegal practices in the stock or securities market to deceive investors.

Compensating for a loss or injury, often required in financial misconduct.

The process of making illegally obtained money appear legitimate.

A person with non-public information that could affect security prices.

Significant impact on the price or value of securities.

Up to ten years imprisonment and a fine of at least one million ringgit.

Insiders cannot share non-public info that influences trades.

Information not generally available that can affect securities value.

Buying or selling securities based on insider info.

Expectation that a reasonable person would recognize information's potential impact.

Engaging in transactions to artificially alter stock prices.

An agreement among investors to buy/sell stocks to inflate prices.

Placing buy/sell orders through multiple brokers to create demand.

Spreading false claims to drive stock prices down.

Manipulators trade amongst themselves to simulate high trading activity.

A tactic where traders attempt to drive down a stock's price.

Selling and buying the same stock to create misleading volume.

A situation when a trader controls supply to manipulate stock prices.

Failure to comply with regulations or rules under securities laws.

Allows a person to recover damages due to another's securities law violation.

Authority of the Commission to take action upon contraventions of regulations.

Court can order remedies for anticipated or past contraventions of securities requirements.

Penalties for violations of this Act can include fines or imprisonment.

Any condition or rule that a person must comply with under securities laws.

Providing misleading information to Bursa Malaysia or other entities.

Steps to address a breach, including restitution for affected parties.

An offence that persists over time, incurring daily fines after conviction.

Fines of up to five thousand ringgit per day for each day the offence continues after conviction.

Bursa Malaysia enforces rules to ensure fair market practices and integrity against threats.

Bursa Malaysia's strict stance against actions undermining market confidence.

Severe violations include fraud, false trades, and price manipulation.

Submitting or reporting false trades is classified as a major offence.

Act of altering market prices maliciously or attempting to monopolize.

Orders from clients must be executed per exchange rules; failing leads to penalties.