HKSI Paper 4 (Regulation of Credit Rating Services) English Free Trial

Below you can enjoy our HKSI Paper 4 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:
Ongoing notification requirements
Notification under s. 135, Securities and Futures Ordinance
Information in annual returns to the Securities and Futures Commission
Annual financial statements and other documents
The credit rating agency’s own code of conduct
Public disclosure of the House Code, methodologies, etc.
Communication with the public
Transparency and timeliness of ratings disclosure
Confidential information of rated entities
Confidential information concerning ratings
Market misconduct under the Securities and Futures Ordinance
Disclosure of information about prohibited transactions
Disclosure of false or misleading information inducing transactions
Orders made by the Market Misconduct Tribunal
Criminal sanctions imposed by the courts
Engaging in situations where conflicts arise
Market misconduct and offences under the Securities and Futures Ordinance

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Jodie Townsend

Jodie Townsend

Customer Success Manager | HKSIDataBase