In the Securities and Futures (Licensing and Registration) (Information) Rules, which of the following particulars of a corporation included in the basic information in relation to a corporation?

I. The corporate name and business name in Chinese and English.
II. The date and place of incorporation of the corporation.
III. Former names and periods during which those names were used by the corporation.
IV. The number of the valid business registration certificate of the corporation.

In the Securities and Futures (Licensing and Registration) (Information) Rules, which of the following particulars of an individual included in the relevant information in relation to a corporation?

I. The information related to a person that has been convicted with any criminal offense (other than a minor offense) whether or no evidence of such conviction is admissible in proceedings in Hong Kong or elsewhere.
II. The information related to a person for any disciplinary action or investigation by a regulatory body or criminal investigatory body.
III. The information related to a person that is disqualified from holding the office of the director.
IV. The information related to a person for any order of the court or other competent authority for fraud, dishonesty or misfeasance.

In the Securities and Futures (Licensing and Registration) (Information) Rules, Information to be provided with Applications to Commission by which of the following authority for the provision of the business history (if any) of the applicant covering internal controls, organizational structure, contingency plans and related matters?

In the Securities and Futures (Miscellaneous) Rules, which of the following rules imply for the digital signature specified by the Commission required on the documents that are in electronic form?

I. Digital signature supported by verbal instructions.
II. Digital signature generated within the validity of a recognized certificate.
III. Digital signature used in accordance with the terms of a recognized certificate.
IV. Digital signature supported by a recognized certificate.

In the Securities and Futures (Keeping of Records) Rules, which of the following type of punishments shall be liable to an intermediary, or an associated entity of an intermediary on summary conviction which with intent to defraud and violating the rules and commits an offense?

I. On conviction liable to imprisonment for 1 year.
II. On conviction liable to a fine of $1,000,000.
III. On conviction liable to imprisonment for 7 years.
IV. On conviction liable to a fine of $500,000.

In the Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules, what is the time period, an intermediary should retain a copy of every monthly statement of account?

In the Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules, which of the following type of punishments liable to an intermediary, or an associated entity of an intermediary on conviction on an indictment after contravenes any provision of these Rules that applies to it, with intent to defraud and commits an offense?

I. On conviction on indictment liable to imprisonment for 3 years.
II. On conviction on indictment liable to a fine of $1,000,000.
III. On conviction on indictment liable to a fine of $50,000.
IV. On conviction on indictment liable to imprisonment for 7 years.

In the Securities and Futures (Financial Resources) Rules, what is the minimum amount of required liquid capital for the type 3 regulated activity in any case other than the licensed corporation in question is an approved introducing agent?

In the Securities and Futures (Financial Resources) Rules, what is the minimum amount of required liquid capital for the type 6 regulated activity in the case where the licensed corporation in question is subject to the specified licensing condition?

In the Securities and Futures (Financial Resources) Rules, which of the following condition the interest is calculated for the qualifying debt securities are regarded as having a fixed rate coupon?

I. The interest is payable annually throughout the term of the securities.
II. The interest is calculated by reference to a predetermined fixed interest rate that does not change during the term of the securities.
III. The interest is calculated by reference to a variable interest rate that is reset periodically to equate to the level of a money market or interbank reference interest rate.
IV. The interest is payable periodically throughout the term of the securities.

In the Securities and Futures (Financial Resources) Rules, at what time after the end of the period concerned a licensed corporation should submit a return to the Commission in respect of each period of 6 months?

In the Securities and Futures (Financial Resources) Rules, which of the following time a licensed corporation should submit a return to the Commission in respect of each period of 3 months at the end of which it remains licensed?

In the Securities and Futures (Financial Resources) Rules, what is the minimum amount of paid-up share capital for the Type 3 regulated activity in any case other than the licensed corporation in question is an approved introducing agent?

In the Securities and Futures (Financial Resources) Rules, which of the following are any assets or instruments that are held by a person in terms of miscellaneous investment?

I. Any asset or instrument held by a person for the purpose of a bank deposit.
II. Any asset or instrument held by a person for the purpose of locking in arbitrage profits.
III. Any asset or instrument held by a person for the purpose of securing a profit from fluctuations in the value of the asset or instrument.
IV. Any asset or instrument held by a person for the purpose of resale.

In the Securities and Futures (Financial Resources) Rules, which of the following are included as liquid assets in a licensed corporation?

I. Cash in hand which it beneficially owns.
II. Money which it beneficially owns and holds in an account in its name.
III. Money which it beneficially owns and holds in an approved bank incorporated outside Hong Kong in the form of a demand deposit.
IV. Money which it beneficially owns and holds in a segregated account.

In the Securities and Futures (Financial Resources) Rules, at what stage a licensed corporation must notify the Commission in writing as soon as reasonably practicable within one business day of becoming aware of the following event?

In the Securities and Futures (Financial Resources) Rules, at what stage a licensed corporation must notify the Commission in writing as soon as reasonably practicable within one business day of becoming aware of the following event?

which of the following conditions, the Securities and Futures (Client Money) Rules apply to the client’s money of a licensed corporation?

I. The money that is received from a licensed corporation that is outside Hong Kong.
II. The money that is received on behalf of an associated entity of the licensed corporation, in relation to such conduct of the regulated activity.
III. The money that is received on behalf of the licensed corporation in the course of the conduct of any regulated activity for which the licensed corporation is licensed.
IV. The client’s money of a licensed corporation that has at any time been received by a licensed corporation that is transferred outside Hong Kong.

In the Securities and Futures Ordinance (SFO), which of the following conditions a licensed corporation that holds any amount of client’s money in a segregated account shall retain it?

I. The amount paid to the client of the licensed corporation, being the client on whose behalf it is being held.
II. The amount paid in accordance with a written direction.
III. The amount paid in accordance with a standing authority.
IV. The amount paid according to the directions of the President.

Which of the following statements define the “floating losses” in the Securities and Futures (Financial Resources) Rules?

I. Floating losses mean unrealized losses calculated by marking to market an open position in a derivative contract.
II. Floating losses mean unrealized losses calculated by marking to market a close position in a specified investment.
III. Floating losses mean unrealized losses calculated by marking to market an open position in a leveraged foreign exchange contract.
IV. Floating losses mean unrealized losses calculated by marking to market an open position in a foreign exchange agreement.