HKDSE Biology Practice & Notes
Topic-based practice with answer frameworks and revision notes
專業考試證券期貨
HKSI 卷六：資產管理規例 — 獨立模擬題庫
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160 題 quizBank.difficulty.4 10/1/2026
題庫簡介
160道獨立模擬題，四份40題試卷、60分鐘、70%合格；不加入884道日常練習池。繁簡英及交卷後解析。自編章節比例，並非HKSI官方試題；依公開考綱及引用規例編寫。
Preview questions
20 questions available freeA firm says its fund is SFC-authorised and therefore it may start discretionary securities management. What still needs checking?
A client signs a clause waiving all conflict disclosure; the firm then stops applicable disclosure. How is this assessed?
A director wants recurring conduct failures removed from a report because the Code is not a criminal statute. What is the appropriate response?
Custody is performed by a subcustodian, while the depositary oversees an authorised fund's operation against documents. It claims no Type 13 involvement because it does not directly hold securities. How is this assessed?
How do a listed issuer and a bank registered for regulated activities differ under the SFO intermediary definition?
An overseas issuer calls itself a private company; a salesperson says its bonds therefore fall outside SFO securities. Which check is crucial?
An index contract under futures-market rules is cash settled without physical delivery. Does cash settlement itself exclude the futures-contract definition?
Each owner chooses tenant, rent and term; an agent only implements individual instructions, with no other pooling condition. What differs from centralised manager decisions?
Arrangement A manages property as a whole without pooling returns; Arrangement B pools contributions and returns. Other CIS elements hold for both. How does limb(a)(ii) compare?
How do section 104 CIS authorisation and section 105 invitation-material authorisation differ?
A fund says PI-only but accepts known nonqualifying ordinary investors. Can it keep relying solely on the label?
A promoter knowingly uses an unsupported forecast to induce CIS subscription. Even with issue authorisation satisfied, what remains relevant?
How are OFC primary regulation/registration and incorporation/corporate filings allocated?
An SFC-licensed corporation faces securities discipline. Must misconduct in its MPF intermediary activity be handled only by the SFC?
A licensed dealer adds a distinct discretionary-management desk, unable to establish that it is wholly incidental to dealing. Which assessment is correct?
Two officers are approved for Type 9, but neither for newly added Type 4. Is the new activity's minimum met?
After a firm is licensed, which staff still need personal permission assessed?
A material integrity event arises after RO approval. Management says fitness is assessed only on application. What is appropriate?
An overseas manager uses HK-targeted advertising and local introducers to solicit discretionary-management clients. Does an overseas office exclude licensing analysis?
A manager serves its wholly owning parent and a venture 60% owned by that parent. Does the wholly-owned exemption directly cover all services?
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