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PRACTICE QUESTIONS SECURITIES MARKET (BASIC) MODULE 1) (a) (b) (c) (d) (e) The following are participants in the securities markets. (1 mark) Underwriters Debenture Trustees Venture Capital Funds
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The securities market basic module is a regulatory requirement that provides a framework for monitoring and reporting information related to the securities market.
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The purpose of the securities market basic module is to enhance transparency, improve market surveillance, and ensure compliance with regulations in the securities market.
The securities market basic module typically requires the reporting of transaction details, trade volumes, client information, financial statements, risk exposure, and other relevant information specified by the regulatory authority.
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