HKSI Paper 17 (LE) Regulation of Takeovers and Share Buy-backs Free Practice Questions

The only HKSI exams tool that allows you to study with minimum time and pass in your first attempt.

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Last updated on: 01-July-2024

HKSI Exam Quiz 01 Topics covers:

Background to takeovers and share buy-backs in Hong Kong
Introduction to the Codes on Takeovers and Mergers and Share Buy-backs
Financial advisers as a gateway mechanism for market integrity
Dealings with the Executive Director of the Corporate Finance Division of the Securities and Futures Commission
Licensing and registration requirements
Additional competence requirements for corporations and individuals which undertake
activities in connection with matters regulated by the Codes on Takeovers and Mergers and Share Buy-backs
Securities and Futures Ordinance
Companies (Winding Up and Miscellaneous Provisions) Ordinance
Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited
5 Regulatory codes of conduct issued by the Securities and Futures Commission (“SFC”)
Corporate Finance Adviser Code of Conduct
Supervision and investigation
Investigations of possible offences, etc
SFC Disciplinary Fining Guidelines

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