In the Securities and Futures (Fees) Rules, how much fee should be paid by the person to the Commission where that person applies to the Executive for any ruling under the Takeovers Code or the Share Buy-back Code and no fee is otherwise provided for by these Rules for the application?

Which of the following authority has the power to waive the payment of any fee in whole or in part provided under the Securities and Futures (Fees) Rules?

In the Securities and Futures (Fees) Rules, what is the amount of annual fee that is payable in respect of authorization of the provision of automated trading services under Part III and section 95(2) of the Ordinance?

In the Securities and Futures (Fees) Rules, which of the following statement is true for the fee payable on an application to modify a previous authorization under Part IV section 105 of the Ordinance of the issue of an advertisement, invitation or document?

I. The fee is payable in respect of any certificate of deposit is $3,000.
II. The fee is payable in respect of any instrument specified in Part 4 of Schedule 2 to the Ordinance is $3,000.
III. The fee is payable in respect of any structured product $3,000.
IV. The fee is payable in respect of any securities other than interests in a collective investment scheme is $3,000.

In the Securities and Futures (Licensing and Registration) (Information) Rules, which of the following changes in respect of particulars of any intermediary corporation that is, or becomes, or ceases to be an associated entity should be notified by a licensed corporation?

I. Changes in the CE number of the corporation.
II. Changes in the date of becoming, or ceasing to be an associated entity of the corporation.
III. Changes in the basic information in respect of its executive officers (if any).
IV. Changes in the basic information in respect of the corporation.

In the Securities and Futures (Miscellaneous) Rules, what should be the method of submission of documents (other than the electronic form) where these are required for the purposes of any provision of the Ordinance to be served on the Commission?

I. Documents should be delivered by hand.
II. Documents should be sent by post.
III. Documents should be sent by electronic mail transmission.
IV. Documents should be sent by facsimile transmission to such facsimile number as may be specified by the Commission.

In the Securities and Futures (Miscellaneous) Rules, which of the following authority specifies the electronic reception facility on the contact details page of the Commission’s web site for the documents (in case of the electronic form) where these are required for the purposes of any provision of the Ordinance to be served on the Commission?

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 conviction which with intent to defraud and violating the rules and commits an offense?

I. On conviction liable to imprisonment for 3 years.
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 $3,000,000.

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 statement of account other than the monthly statement of account?

In the Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules, which of the following authority an intermediary or an associated entity of an intermediary after becoming aware of a violation of rules should give written notice about the fact within one business day thereafter?

In the Securities and Futures (Licensing and Registration) (Information) Rules, which of the following, the Commission assigns the central entity identification number (CE number)?

I. Commission assigns to an intermediary.
II. Commission assigns to a licensed representative.
III. Commission assigns to an applicant.
IV. Commission assigns to an associated entity of an intermediary.

In the Securities and Futures (Licensing and Registration) (Information) Rules, within how many days a notice in writing containing a full description should be given to the Commission after any change takes place in the information specified in Schedule 3?

In the Securities and Futures (Financial Resources) Rules, which of the following are the haircut percentages for listed shares which are listed on a specified exchange in Japan, other than shares which are listed on the Tokyo Stock Exchange, Inc?

I. Haircut percentage is 15% for being a constituent of the Nikkei Stock Average.
II. Haircut percentage is 15% for not being a constituent of the Nikkei Stock Average.
III. Haircut percentage is 30% for being shares which are listed on the Tokyo Stock Exchange, Inc.
IV. Haircut percentage is 20% for not being a constituent of the Nikkei Stock Average.

In the Securities and Futures (Financial Resources) Rules, which of the following are the haircut percentages for listed shares which are listed on a specified exchange in the United States of America, other than shares which are listed on the NASDAQ Stock Market LLC – NASDAQ Global Market?

I. Haircut percentage is 20% for being a constituent of the FTSE 100 Index.
II. Haircut percentage is 15% for being a constituent of the S&P 500 Index.
III. Haircut percentage is 20% for not being a constituent of the S&P 500 Index.
IV. Haircut percentage is 15% for being a constituent of the Nikkei Stock Average.

In the Securities and Futures (Financial Resources) Rules, which of the following case the issuer or guarantor of the qualifying debt securities will pay the Haircut Percentage 2% for Qualifying Debt Securities?

I. The issuer or guarantor has an issue currently rated by Moody’s Investors Service at Aa, A or Prime-2.
II. The issuer or guarantor has an issue currently rated by Standard & Poor’s Corporation at AA, A or A-2.
III. The issuer or guarantor has an issue currently rated by Fitch Ratings at AA, A or F2.
IV. The issuer or guarantor has an issue currently rated by Moody’s Investors Service at Baa or Prime-3.

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, which of the following type of information is included in the return submitted by a licensed corporation to the Commission in respect of each month at the end of which it remains licensed?

I. The names of clients doing business in Hong Kong in terms of a licensed corporation.
II. An analysis of its client assets, as at the end of the month.
III. The licensed corporation is licensed for Type 3 regulated activity, an analysis of its foreign currency positions, as at the end of the month.
IV. An analysis of its profit and loss account.

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 each month 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 defines the “settlement quantity” in relation to an instrument that has a permitted underlying asset?

In the Securities and Futures (Financial Resources) Rules, Where will the licensed corporation be accounted for the purpose of calculating its liquid capital and required liquid capital for all its effected transactions?

In the Securities and Futures (Financial Resources) Rules, where will the securities be provided by the licensed corporation that is deemed to remain the owner of any asset which it beneficially owns and for credit facilities provided to it by the institution, bank or corporation?

I. A licensed corporation has provided security to an authorized financial institution.
II. A licensed corporation has provided security to an approved bank incorporated inside Hong Kong.
III. A licensed corporation has provided security to another licensed corporation.
IV. A licensed corporation has provided security to an approved bank incorporated outside Hong Kong.

In the Securities and Futures (Financial Resources) Rules, which of the following transactions are introduced by a licensed corporation introduces?

I. Transactions that involve dealing in any securities.
II. Transactions that involve dealing in a futures contract.
III. Transactions that involve unlisted options contract.
IV. Transactions that involve trading in a leveraged foreign exchange contract.

In the Securities and Futures (Financial Resources) Rules, which of the following authority the licensed corporation that is licensed for Type 1 regulated activity submits its return in respect of each month at the end of which it remains licensed?

In the Securities and Futures Ordinance (SFO), at what time the clerk and the arbitrator may destroy the document relating to an arbitration process of any dispute?

In the Securities and Futures (Miscellaneous) Rules, what should be the method of submission of documents (in case of the electronic form) where these are required for the purposes of any provision of the Ordinance to be served on the Commission?

I. Documents should be delivered by hand.
II. Documents should be sent by post.
III. Documents should be sent by means of such electronic transmission as may be approved by the Commission.
IV. Documents should be sent by electronic mail transmission.

In the Securities and Futures (Keeping of Records) Rules, what is the period of time, the record under these rules (except any subsidiary legislation) is retained by an intermediary or an associated entity of an intermediary?

In the Securities and Futures (Licensing and Registration) (Information) Rules, within how many days a notice in writing containing a full description should be given to the Commission after any change takes place in the information specified in Schedule 3?

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.