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1. www.hksi.org › qualification › practising-qualificationsLicensing Examination for Securities and Futures Intermediaries

   www.hksi.org › qualification › practising-qualifications

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   Examination Papers: Regulatory Papers (i.e. LE Papers 1 to 6, and 18) and Practical Papers (i.e. LE Papers 7 to 12, and 19) are approved by the SFC as Recognised Industry Qualifications and Local Regulatory Framework Papers for respective regulated ".

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     證券及期貨從業員資格考試（資格考試）為有志投身香港證券 ...

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     The Case Competition, which was initially introduced as ...

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     Examination Month Paper 1: Fundamentals of Securities ...

2. www.hksi.org › hk › qualification概覽 - HKSI

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   證券及期貨從業員資格考試（資格考試）為有志投身香港證券及投資業的人士而設，考試內容實用並緊貼市場。. 《證券及期貨條例》的單一發牌制度涵蓋了13類受規管活動，要求任何人士擁有單一牌照或註冊以進行各類受規管活動。. 資格考試已獲 證券及期貨 ...

3. 其他人也問了

   Which regulatory papers are approved by the SFC?

   • Regulatory Papers (i.e. LE Papers 1 to 6, and 18) and Practical Papers (i.e. LE Papers 7 to 12, and 19) are approved by the SFC as Recognised Industry Qualifications and Local Regulatory Framework Papers for respective regulated activities (RAs) under the SFC’s "Guidelines on Competence".

   Overview - HKSI

   www.hksi.org/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/overview/

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   What is the licensing examination for Securities & Futures Intermediaries (LE)?

   • The Licensing Examination for Securities and Futures Intermediaries (LE) is a practical, market-focused examination designed for individuals pursuing careers in Hong Kong’s securities and investment industry. Under the Securities and Futures Ordinance, a single licensing regime covers 13 types of regulated activity (RA).

   Overview - HKSI

   www.hksi.org/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/overview/

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   Who is not SFC licensed?

   • 14. Discipline of Regulated Persons Any person involved in the management of a licensed corporation, including managers-in-charge of core functions. Such individuals are not necessarily SFC licensed; and [To access practice questions for this topic, go to Examinator.online – Paper 1]

   How to Pass HKSI Paper 1 on Securities & Futures Regulation

   executiveknowledge.com.hk/how-to-pass-hksi-paper-1/

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   What does the SFC do?

   • 1. To promote investment opportunities and market development initiatives. 2. To investigate and enforce compliance with securities and futures regulations. 3. To provide education and training programs for industry professionals. 4. To manage the financial resources and budget of the SFC.

   HKSI Paper 1 Free Practice Questions - HKSIDataBase

   hksidatabase.com/hksi-paper-1-preview-english-set-two/

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4. www.hksi.org › qualification › practising-qualificationsPast Questions and Answers - HKSI

   www.hksi.org › qualification › practising-qualifications

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   Examination Month Paper 1: Fundamentals of Securities and Futures 卷一： 基本證券及期貨規例 December 2006 Paper 2: Regulation of Securities 卷二： 證券規例 December 2006 Paper 3: Regulation of Derivatives 卷三： 衍生工具規例 December 2006

5. executiveknowledge.com.hk › how-to-pass-hksi-paper-1How to Pass HKSI Paper 1 on Securities & Futures Regulation

   executiveknowledge.com.hk › how-to-pass-hksi-paper-1

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   2021年6月11日 · 60 Things You Should Know to Pass HKSI Paper 1 – Securities and Futures Regulation. By InfoAdmin3952. June 11, 2021. TOPIC 1 – REGULATORY OVERVIEW OF THE HONG KONG FINANCIAL INDUSTRY. 1. Philosophy and Systems of Regulation. Share offers and listing matters can be referred to as merit-based or disclosure-based. Merit-based Regulation.

6. executiveknowledge.com.hk › sfc-le-question-practiceSFC Licensing Exam Question Practice - Hong Kong SFC ...

   executiveknowledge.com.hk › sfc-le-question-practice

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   Paper 1: Fundamentals of Securities and Futures Regulation. Practice questions are available for all 9 topics: Regulatory overview of the Hong Kong financial industry. Principles of relevant Hong Kong law and the new Companies Ordinance. Securities and Futures Ordinance (“SFO”) Licensing and registration, and subsidiary legislation.

7. www.sfc.hk › Guidelines › licensing-handbookLicensing Handbook - SFC

   www.sfc.hk › Guidelines › licensing-handbook

   Contents. Foreword 1. Part I Do you need a licence or registration? ........................................... 2. Types of regulated activity .................................................................2. General requirements ........................................................................2.

8. hksidatabase.com › hksi-paper-1-preview-english-set-twoHKSI Paper 1 Preview ( English ) Set Two - HKSIDataBase

   hksidatabase.com › hksi-paper-1-preview-english-set-two

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   2024年8月9日 · The Securities and Futures Commission (“SFC”) – its constitution, objectives,functions, powers and duties. Exchange companies, clearing houses, exchange controllers, investor. compensation companies and automated trading services. Who may be licensed or registered? Capital requirements, client assets, records and audit relating to intermediaries.