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HKSI Paper 1 Fundamentals of Securities and Futures Regulation

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Question 1

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Which statements are correct about the statutory role and structure of the Securities and Futures Commission (SFC) in Hong Kong?
I. The SFC's Chairman also serves as its Chief Executive Officer, combining leadership of the Board's strategic direction with day-to-day executive management of the Commission in a single office.
II. The SFC is a listed commercial company that operates the stock and futures exchanges in Hong Kong and earns trading revenue from market participants.
III. The members of the SFC's Board are appointed for fixed terms by the Chief Executive of the Hong Kong Special Administrative Region or the Financial Secretary under delegated authority, and non-executive directors form the majority of the Board.
IV. The Code of Conduct for Persons Licensed by or Registered with the SFC is published in the Gazette and therefore has the force of law, so a licensed corporation that breaches the Code can be prosecuted for an offence as if the Code itself were a statute.

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Topic 1: Regulatory overview of the Hong Kong financial industry
Topic 2: Principles of relevant Hong Kong law and the Companies Ordinance
Topic 3: Securities and Futures Ordinance
Topic 4: Licensing and registration, and subsidiary legislation
Topic 5: Business conduct and client relations
Topic 6: Business operations and practice
Topic 7: Participating in the Hong Kong exchanges
Topic 8: Accessing public capital
Topic 9: Market misconduct and improper trading practices

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Start with the first video lesson for this course. Follow the lesson on screen, listen on the go, and use the subtitles to keep each key point clear.
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LESSON 01 · FREE PREVIEW

Regulatory Overview of the Hong Kong Financial Industry

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HKSI Paper 1 Preview ( English ) Set One

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