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 02 Topics covers:
Ongoing notification requirements
Information in annual returns to the Securities and Futures Commission
Breaches of laws and regulations
Treatment of client money on receipt
SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products
Internal product approval process
Authorisation procedures under the Code on Unit Trusts and Mutual Funds (“CUTMF”)
Advertising requirements
Ongoing requirements under the CUTMF
CUTMF: core requirements for authorised CIS
CUTMF: requirements for specialised schemes
Market misconduct under the Securities and Futures Ordinance
Disclosure of information about prohibited transactions
Disclosure of false or misleading information inducing transactions
Conduct not constituting market misconduct (safe harbour rules)

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