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 02 Topics Covers:
Duties and liabilities of responsible officers and executive officers
Requirements under the Securities and Futures Ordinance
Requirements under the new Companies Ordinance
Requirements under the Code of Conduct for Persons Licensed by or Registered with the
Securities and Futures Commission (“Code of Conduct”)
General duties of management
Management, supervision and internal control
Management and supervision
Trading halt, suspension, cancellation and withdrawal of listing
The SEHK’s power to direct a trading halt or suspend dealings
Trading halt or suspension requested by the issuer
The Securities and Futures Commission’s power to suspend dealings
Additional information about operational controls and risk management
Risk management techniques
Market participants in Hong Kong securities market
Exchange Participants, licensed or registered persons and overseas participants
Hong Kong Exchanges and Clearing Limited
Exchanges, trading systems and clearing houses
Participant ship and trading right
Representatives and responsible officers
Trading rights of The Stock Exchange of Hong Kong Limited (“SEHK”)
Legal and regulatory requirements
Procedural requirements for handling short-selling orders
Regulated short selling on The Stock Exchange of Hong Kong Limited (“SEHK”)

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