HKSI Paper 2 (Regulation of Securities) English Free Trial

Below you can enjoy our HKSI Paper 2 Preview. What we show here is merely the examination format HKSIDataBase quizzes adhere to. In our premium subscription version, all our questions are updated frequently from time to time base on the real examination requirement. 

HKSI Exam Quiz 01 Topics Covers:
Securities and Futures Ordinance (“SFO”) and relevant regulations
Securities and Futures Ordinance
Subsidiary legislation
Codes, guidelines and guidance notes
Other relevant laws
New Companies Ordinance and related matters
Personal Data (Privacy) Ordinance
Securities and Futures Commission (“SFC”)
Regulatory functions and structure
Directors, committees, tribunals and panels
Functions of the SFC’s operating units
Other relevant regulatory authorities
Hong Kong Monetary Authority
Registrar of Companies
Office of the Commissioner of Insurance
Mandatory Provident Fund Schemes Authority
Hong Kong Exchanges and Clearing Limited
Overall licensing regime under the SFO
Regulated activities (“RAs”)
Executive officer and relevant individual
Temporary licences and provisional licences
Types of RA covered in this manual
Dealing in securities
Other securities activities
Securities and Futures (Financial Resources) Rules
Why are capital requirements necessary?
Capital requirements for licensed corporations and registered institutions
Requirements of the Securities and Futures Ordinance
Securities and Futures (Financial Resources) Rules
Liquid assets, ranking liabilities and liquid capital

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Jodie Townsend

Jodie Townsend

Customer Success Manager | HKSIDataBase