HKSI Paper 1 (Fundamentals of Securities and Futures Regulation) Free Trial Set Two

The only HKSI exams tool that allows you to study with minimum time and pass in your first attempt. Never take an exam twice. Last updated on: 12-June-24

HKSI Exam Quiz 02 Topics Covers:
Separate legal entity
Private, public and listed companies
Memorandum and articles of association
Why create the Securities and Futures Ordinance (“SFO”)?
Objectives of the SFO
The Securities and Futures Commission (“SFC”) – its constitution, objectives,functions, powers and duties
Exchange companies, clearing houses, exchange controllers, investor
compensation companies and automated trading services
Who may be licensed or registered?
Capital requirements, client assets, records and audit relating to intermediaries
Monitoring compliance with financial resources rules
Safeguarding and control of client assets
Contract notes, receipts, statements of account and notifications
Provisions relating to audit matters
Business conduct of intermediaries
Supervision and investigations
Intermediaries and their associated entities
Investigations of possible offences, etc.
Powers of intervention and proceedings
Intervention notices issued by the SFC

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