HKSI Paper 3 (Regulation of Derivatives) English Free Trial

Below you can enjoy our HKSI Paper 3 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 based on the real examination requirement. 

HKSI Exam Quiz 01 Topics Covers:
Definition of derivatives
Legislation and regulation
Securities and Futures Ordinance (“SFO”)
SFO, subsidiary legislation, codes and notes
Prevention of money laundering and terrorist financing
Securities and Futures Commission (“SFC”)
Regulatory functions and structure
Regulatory objectives
Functions and power
Functions of the SFC’s operating units
Hong Kong Exchanges and Clearing Limited
Formation and structure
Roles and responsibilities
Licensing and registration requirements under the Securities and Futures Ordinance (“SFO”)
Regulated activities under the SFO
Dealing in futures contracts
Advising on futures contracts
Providing automated trading services
Licensing of corporations
General principle
Application for a licence or registration
Responsible officers, representatives and executive officers
Licensing of representatives

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