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 02 Topics Covers:
Securities and Futures (Client Securities) Rules
Requirement for deposit or registration of securities
Relevance to trading in futures contracts
Securities and Futures (Client Money) Rules
Sources of client money
Mode of treatment of client money on receipt
Payment of money out of segregated account
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (“Code of Conduct”)
The nine general principles
Effect of breaches of the Code of Conduct
Regulation by the Securities and Futures Commission
Policies and procedures to combat money laundering and terrorist financing
Market misconduct under the Securities and Futures Ordinance
Definition of market misconduct
Records to be kept by intermediaries

What Do You Get When You Enable Full Access

Gain An Unique Advantage

Significantly increase your pass rate, save you a tremendous amount of time and money. 

Success At Your Fingertip

Support all desktop, mobile, tablet, and devices. No system installation is needed. Start in one minute.

Take Your Career To Next Level

Leverage the best tool in the market to help you succeed