HKSI Paper 6 (Regulation of Asset Management) English Free Trial ​

Below you can enjoy our HKSI Paper 6 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:
General approaches adopted by the regulators
Background to the industry
Framework of laws and regulations
Licensing and registration requirements
Authorisation of collective investment schemes
Authorisation of structured products
Advertisements and invitations
Regulatory rules issued by the Securities and Futures Commission (“SFC”): codes of
Mandatory Provident Fund Schemes Ordinance
Occupational Retirement Schemes Ordinance
General status of the persons involved: asset managers, distributors and others
Persons that conduct regulated activities
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)
Requirements of the HKMA

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