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 01 Topics Covers:
International context of regulating credit rating agencies
Global markets, issuers and investors
International Organization of Securities Commissions
The relevance of European Union regulation
Framework of laws and regulations
Licensing and registration requirements for credit rating agencies
Definitions of credit ratings and providing credit rating services under the Securities and
Regulatory rules issued by the Securities and Futures Commission (“SFC”): codes of conduct, guidelines and circulars
Hong Kong Monetary Authority (“HKMA”)
Inter-relationships among the regulators
Licensing and registration requirements under the SFO
General status of the persons involved
Registration of authorised financial institutions
Restrictions on conducting regulated activities
Information to be provided by applicants for licensing, etc.
Fit and proper guidelines for licensed representatives and responsible officers (and equivalents for registered institutions)
Fit and proper guidelines for corporate applicants and intermediaries (i.e. licensed corporations and registered institutions)
Code of Conduct for Persons Licensed by or Registered with the SFC (“Code of Conduct”)
Effect of a breach of the Code of Conduct
Management, Supervision and Internal Control Guidelines for Persons Licensed

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