VTC LFE (Leverage Foreign Exchange) Paper 2 Free Trial Set Two

In the Securities and Futures (Fees) Rules, within how many days after the delivery by the Takeovers Appeal Committee an additional fee of $20,000 shall be payable by the person to the Commission in respect of each day on which the Takeovers Appeal Committee meets for the purposes of the review of the appropriateness of any sanction imposed by it?

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?

In the Securities and Futures (Fees) Rules, what is the amount of fee payable on an application under Part VI section 156(4) of the Ordinance for extension of the period within which financial statements, other documents and any auditor’s report are required to be submitted under section 156(1) or (2) of the Ordinance?

In the Securities and Futures (Fees) Rules, what is the amount of fee payable on submission of any information or document to the Commission requiring its consideration and advice relating to the authorization for registration of a prospectus?

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

I. The business, residential and correspondence addresses of the individual.
II. The contact telephone and facsimile numbers and electronic mail address of the individual.
III. The Chinese commercial code and the number on his identity card issued.
IV. The holder of a permanent identity card, the number, expiry and the name of the issuing agency of his passport.

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 (Fees) Rules, how much fee shall be paid by a person to the Commission, where a person other than the Executive applies to the Takeovers Appeal Committee for a review of the appropriateness of any sanction imposed by the Takeovers Panel pursuant to the Codes?

In the Securities and Futures (Fees) Rules, how much an additional fee shall be paid by a person to the Commission within 30 days after the delivery by the Takeovers Appeal Committee in respect of each day on which the Takeovers Appeal Committee meets for the purposes of the review of the appropriateness of any sanction imposed by it?

In the Securities and Futures (Keeping of Records) Rules, which of the following type of information for each leveraged foreign exchange contract should be revealed in the record kept by a licensed corporation licensed for leveraged foreign exchange trading?

I. The bid and offer prices quoted by a licensed corporation to the client.
II. The price at which the contract is executed.
III. Any written notice is given by a licensed corporation to the market.
IV. The bid and offer prices at the time of execution of the contract as quoted.

In the Securities and Futures (Keeping of Records) Rules, which of the following type of information should be revealed in the record kept by a licensed corporation licensed for leveraged foreign exchange trading?

I. In relation to each recognized counterparty, particulars sufficient to establish that the recognized counterparty is a recognized counterparty.
II. For each business day the market value of each open position held at the end of that day for its own account.
III. For each business day the market value of each open position held at the end of that day the accounts of each of its clients.
IV. For each business day the market value of each open position held at the end of that day the accounts of each of its recognized counterparties.

In the Securities and Futures (Licensing and Registration) (Information) Rules, which of the following authority correct the errors that exist in the register of licensed persons and registered institutions maintained under section 136(1) of the Ordinance as soon as reasonably practicable?

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

I. The title and the full personal name and surname in Chinese and English.
II. The date and place of birth of the individual.
III. The gender of the individual.
IV. The nationality of the individual.

In the Securities and Futures (Financial Resources) Rules, what is the minimum amount of required liquid capital for the type 2 regulated activity in any case other than the licensed corporation in question is an approved introducing agent, futures non-clearing dealer or trader?

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

In the Securities and Futures (Keeping of Records) Rules, which of the following type of record is reconciled by an intermediary on a monthly basis for any differences in its balances or positions with other persons?

I. Its associated entities.
II. Its investment outside Hong Kong.
III. Clearing houses.
IV. Recognized exchange companies.

In the Securities and Futures (Keeping of Records) Rules, which of the following type of record is reconciled by an intermediary on a monthly basis for any differences in its balances or positions with other persons?

I. Its other intermediaries.
II. Its custodians.
III. Its banks.
IV. Its principles.

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. Its liquid capital computation, as at the end of the month.
II. Its required liquid capital computation, as at the end of the month.
III. Its market loan, as at the end of the month.
IV. A summary of bank loans, advances, credit facilities and other financial accommodation available to it, as at the end of the month.

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. An analysis of its margin clients, as at the end of the month.
II. Its value of investment outside Hong Kong, as at the end of the month.
III. An analysis of its rolling balance cash clients, as at the end of the month.
IV. An analysis of collateral received from its margin clients, as at the end of the month.

In the Securities and Futures (Financial Resources) Rules, what is the minimum amount of required liquid capital for the Type 1 regulated activity in any case other than the licensed corporation in question is an approved introducing agent or trader?

In the Securities and Futures (Financial Resources) Rules, what is the minimum amount of required liquid capital for the Type 2 regulated activity in the case where the licensed corporation in question is an approved introducing agent, futures non-clearing dealer or trader?