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HKSI Paper 8 (Securities) English Free Trial
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Question 1 of 10
1. Question
Which of the following indices track the Japanese stock market primarily?
Correct
Nikkei indices is a series of indices that primarily track the Japanese stock market, the most widely watched in Japan is the Nikkei 225 Stock Average
Incorrect
Nikkei indices is a series of indices that primarily track the Japanese stock market, the most widely watched in Japan is the Nikkei 225 Stock Average
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Question 2 of 10
2. Question
What are the most common forms of warrants?
I. Mutual funds
II. Equity
III. Unit trusts
IV. Derivative warrantsCorrect
The most common forms of warrants are equity and derivative warrants.
Incorrect
The most common forms of warrants are equity and derivative warrants.
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Question 3 of 10
3. Question
What are the fundamentals of bond pricing?
I. Time value of money
II. Interest
III. Yield
IV. CouponCorrect
Fundamentals of bond pricing include the time value of money, yield, coupon.
Incorrect
Fundamentals of bond pricing include the time value of money, yield, coupon.
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Question 4 of 10
4. Question
What are the main characteristics of the securities in the pilot programme?
I. They are not regulated as listings on the SEHK’s Main Board or Growth Enterprise Market
II. They are admitted on the SEHK for trading only
III. They are traded under the regulation of Hong Kong law and the SEHK rules
IV. There is public offering in Hong KongCorrect
The main characteristics of the securities in the pilot programme
I. They are not regulated as listings on the SEHK’s Main Board or Growth Enterprise Market
II. They are admitted on the SEHK for trading only
III. They are traded under the regulation of Hong Kong law and the SEHK rulesIncorrect
The main characteristics of the securities in the pilot programme
I. They are not regulated as listings on the SEHK’s Main Board or Growth Enterprise Market
II. They are admitted on the SEHK for trading only
III. They are traded under the regulation of Hong Kong law and the SEHK rules -
Question 5 of 10
5. Question
Which of the following indices track the Japanese stock market primarily?
Correct
Nikkei indices is a series of indices that primarily track the Japanese stock market, the most widely watched in Japan is the Nikkei 225 Stock Average
Incorrect
Nikkei indices is a series of indices that primarily track the Japanese stock market, the most widely watched in Japan is the Nikkei 225 Stock Average
-
Question 6 of 10
6. Question
What are the responsibilities of brokers?
I. Provision of information to clients
II. Regulatory supervision
III. Segregation of clients’ assets
IV. Assume risks by holding positions (long or short) in securities (or their derivatives)Correct
In the day-to-day interaction with investors and clients, brokers have a number of responsibilities, regulated by the SFC, which have been established to protect the interests of investors.
These responsibilities include:
I. Provision of information to clients: a broker must issue a contract note to the client for each securities transaction, provide a monthly statement and acknowledge in writing the receipt of any securities. The broker must also disclose details of all fees charged for rendering securities services.
II. Segregation of clients’ assets: a broker is required to separate all client monies from his own and deposit them in a trust account maintained with an authorized financial institution, and not to use the trust funds to repay debt or for any unauthorized activities.
III. Regulatory supervision: a broker must comply with all applicable regulatory requirements and agree to have regular routine and special inspectionsIncorrect
In the day-to-day interaction with investors and clients, brokers have a number of responsibilities, regulated by the SFC, which have been established to protect the interests of investors.
These responsibilities include:
I. Provision of information to clients: a broker must issue a contract note to the client for each securities transaction, provide a monthly statement and acknowledge in writing the receipt of any securities. The broker must also disclose details of all fees charged for rendering securities services.
II. Segregation of clients’ assets: a broker is required to separate all client monies from his own and deposit them in a trust account maintained with an authorized financial institution, and not to use the trust funds to repay debt or for any unauthorized activities.
III. Regulatory supervision: a broker must comply with all applicable regulatory requirements and agree to have regular routine and special inspections -
Question 7 of 10
7. Question
What are the international indices used by domestic investors to assess the performance of other markets around the world, and to estimate the impact on domestic markets?
Correct
The international indices used by domestic investors to assess the performance of other markets around the world, and to estimate the impact on domestic markets are FTSE indices, NASDAQ indices, MSCI indices.
I. NASDAQ indices
II. FTSE indices
III. HSI Volatility Indices
IV. MSCI indices
Incorrect
The international indices used by domestic investors to assess the performance of other markets around the world, and to estimate the impact on domestic markets are FTSE indices, NASDAQ indices, MSCI indices.
I. NASDAQ indices
II. FTSE indices
III. HSI Volatility Indices
IV. MSCI indices
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Question 8 of 10
8. Question
Which of the following are the individual investors who purchase small amounts of securities for the purposes of long-term investment or short-term profit, and are also major investors in unit trusts or mutual funds?
Correct
Retail investors are usually individual investors who purchase small amounts of securities for the purposes of long-term investment or short-term profit, and are also major investors in unit trusts or mutual funds.
Incorrect
Retail investors are usually individual investors who purchase small amounts of securities for the purposes of long-term investment or short-term profit, and are also major investors in unit trusts or mutual funds.
-
Question 9 of 10
9. Question
What are the advantages of issuing warrants for the underlying companies?
I. New capital is raised for the company when the warrants are exercised
II. Compared with other forms of financing tools, warrants are relatively inexpensive to issue
III. When warrants are exercised, the shareholder base can be broadened
IV. Warrants can be used as “sweeteners” in corporate activitiesCorrect
There are a number of advantages in issuing warrants for the underlying companies:
I. New capital is raised for the company when the warrants are exercised
II. Compared with other forms of financing tools, warrants are relatively inexpensive to issue
III. When warrants are exercised, the shareholder base can be broadened
IV. Warrants can be used as “sweeteners” in corporate activitiesIncorrect
There are a number of advantages in issuing warrants for the underlying companies:
I. New capital is raised for the company when the warrants are exercised
II. Compared with other forms of financing tools, warrants are relatively inexpensive to issue
III. When warrants are exercised, the shareholder base can be broadened
IV. Warrants can be used as “sweeteners” in corporate activities -
Question 10 of 10
10. Question
Which of the following are the listing requirements?
I. Operating history and management
II. Minimum market capitalization
III. Number of employees
IV. Spread of shareholdersCorrect
The listing requirements include many other provisions such as operating history and management, minimum market capitalization, accounting standards, public float and spread of shareholders.
Incorrect
The listing requirements include many other provisions such as operating history and management, minimum market capitalization, accounting standards, public float and spread of shareholders.
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