HKSI Paper 1 (Fundamentals of Securities and Futures Regulation)

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: 03-July-2024

HKSI Exam Quiz 01 Topics Covers:
Financial products and services, and their regulation
Objectives of Hong Kong’s regulatory framework
Relevance and impact of past regulatory problems
Regulatory authorities
Roles of the Government hierarchy
Financial regulators in Hong Kong
Securities and Futures Commission (“SFC”)
Regulatory functions and structure
Directors, committees, tribunals and panels
Functions of the SFC’s operational units
Disciplinary powers, actions, proceedings and penalties
Interaction with Government, local and overseas regulators and the International
Organization of Securities Commissions
Hong Kong Exchanges and Clearing Limited
Participants and intermediaries in the Hong Kong financial market
Outline of Hong Kong’s legal system
Independence of the judiciary
Hong Kong law
The Hong Kong Special Administrative Region system of law courts and tribunals
Companies Ordinance and related matters

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HKSI Paper 1 English Last updated on: 03 July 2024 with over 1810+ Practice Questions

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