專業考試證券期貨

HKSI 卷一基本證券及期貨規例題庫｜Paper 1 一次過合格

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HKSI證券及期貨從業員資格考試卷一Paper 1「基本證券及期貨規例」題庫，免費線上練習，唔使再靠雞精。涵蓋證券及期貨條例、證監會監管架構、發牌制度及操守準則，附計時模擬測驗。適合報考SFC持牌代表…

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Under the regulatory framework of Hong Kong's financial market, which of the following activities is most likely to be defined as a regulated financial service business and requires a license from or regulation by the relevant regulatory authority?

Mr. Li carries on a money-lending business in Hong Kong for the purpose of earning interest, providing working capital financing to Mr. Zhao’s newly established environmental recycling plant.

Hengxin Enterprise uses its own funds for direct investment to establish and operate a factory engaged in precision parts manufacturing through wholly-owned control.

Hengxin Enterprise leases out, on a long-term basis, the multi-storey industrial building property it owns to a technology company engaged in semiconductor research and development in order to earn rental income.

Mr. Li entrusts his friend, Mr. Zhang, with safekeeping the profits from his personal investments; Mr. Zhang acts solely as a gratuitous trustee and receives no service fees or remuneration.

In maintaining the status and stability of Hong Kong as an international financial center, the HKSAR Government and relevant regulatory authorities must adopt a rigorous regulatory framework and defensive mechanisms. According to current regulatory principles and the Anti-Money Laundering and Counter-Terrorist Financing Ordinance, which of the following activities are the regulatory authorities explicitly committed to preventing, monitoring, or combating? (i) Transnational organizations using the Hong Kong financial system for terrorist financing activities (ii) International speculators conducting systematic attacks on the Linked Exchange Rate System through highly leveraged instruments (iii) Initial Public Offerings by Specialist Technology Companies that meet the requirements of Chapter 18C of the Listing Rules (iv) Foreign direct investment inflows accepted by authorized institutions in compliance with prudential regulatory guidelines (v) Cross-border capital flows involving money laundering to conceal the source of criminal proceeds Please select the most accurate combination:

(i), (ii), (v)

(i), (iii), (v)

(ii), (iv), (v)

(i), (ii), (iii), (iv)

Under the criminal legal system of Hong Kong, which of the following statements regarding the burden of proof and legal principles is incorrect?

The prosecution must prove the defendant’s guilt according to the standard of the “balance of probabilities”.

In criminal proceedings, the defendant has the legal right to appoint legal representation for their defense.

A defendant shall be presumed innocent until proven guilty by a court in accordance with legal procedures.

The burden of proof generally lies with the prosecution, who is responsible for proving that the defendant committed the alleged offense.

Within the internal control framework of a securities brokerage, in order to implement the Segregation of Duties to reduce fraud and operational risks, which of the following functions should generally be the responsibility of the Front Office rather than the Back Office?

Handle trading errors and post the relevant differences to the company's suspense account.

Receiving buy/sell orders from clients and being responsible for trade execution in the dealing room.

Preparing end-of-day contract notes and sending trade confirmations to clients.

Reconciling internal trade records with statements provided by clearing houses or executing brokers.

According to Part XV of the Securities and Futures Ordinance of Hong Kong, directors, chief executives, and substantial shareholders of listed companies must disclose their interests in the shares of the company under specific circumstances. This statutory disclosure requirement mainly embodies which of the following objectives of regulating the financial market?

Ensuring that market participants possess equal professional investment skills.

Fully criminalizing all forms of insider dealing behavior.

Increasing the transparency of market operations so that investors can make decisions with sufficient information.

Mandating that listed companies must provide guaranteed returns to minority shareholders

According to the relevant rules of the Securities and Futures Commission (SFC) of Hong Kong, which of the following statements is most accurate regarding an individual investor's right to request the withdrawal of their 'professional investor' status after having been assessed and classified as such by an intermediary?

The investor may submit a withdrawal request only within the 14-day cooling-off period after signing the relevant consent form.

The intermediary has the right to refuse the withdrawal request unless the investor’s net asset value falls below the statutory threshold

The investor has the right to request the intermediary at any time to cease treating them as a professional investor

The intermediary may only implement the change in classification after the withdrawal request has been approved in writing by the regulatory body

According to the 'Guideline on Anti-Money Laundering and Counter-Financing of Terrorism' issued by the Securities and Futures Commission, which of the following statements regarding a licensed corporation's fulfillment of compliance obligations is correct?

When performing customer due diligence and ongoing monitoring, a licensed corporation should adopt a risk-based approach to ensure that resources are commensurate with the level of risk.

Once a client is found to be involved in suspicious transactions, the licensed corporation must immediately freeze all of the client's assets without notifying the regulatory body.

A licensed corporation should only submit a suspicious transaction report to the Joint Financial Intelligence Unit after confirming the money laundering activity through internal investigation and obtaining conclusive evidence.

All transaction records flagged as suspicious must be stored separately from general client records and kept only on overseas servers designated by the regulatory body.

According to the principles of the Hong Kong 'Listing Rules' and the 'Corporate Governance Code', which of the following are generally considered characteristics of good corporate governance for a listed issuer? (i) The issuer has established an audit committee composed of independent non-executive directors. (ii) The board of directors has established a remuneration committee, whose primary function is to review and determine the monthly salaries and benefits of all junior staff. (iii) The roles of the chairman and the chief executive officer are clearly distinguished and should not be performed by the same individual. (iv) The board of directors is committed to enhancing information transparency and ensuring timely and accurate disclosure to shareholders and the public.

(i), (iii), (iv)

(i), (ii), (iv)

(ii), (iii)

All of the above

Mr. Li Zhiming has been hired by Hengxin Securities as the manager of its securities trading department and is currently preparing to apply to the Securities and Futures Commission (SFC) for a license for the relevant regulated activities. According to the 'Fit and Proper Guidelines', which of the following situations is most likely to have a negative impact on his 'fit and proper' qualification? (i) He has a criminal record involving a property transaction fraud. (ii) He was disciplined by The Law Society of Hong Kong and prohibited from practicing as a solicitor. (iii) He studied finance courses at a university but failed to obtain a degree upon graduation. (iv) He was ordered by the court to be disqualified from acting as a director of any company.

(i), (ii), (iv)

(ii), (iii), (iv)

(i), (ii), (iii)

(i), (iii)

According to the operational structure and relevant rules of the Hong Kong Exchanges and Clearing Limited (HKEX), which of the following persons or entities is qualified to apply for registration as a Clearing Participant of The SEHK Options Clearing House Limited (SEOCH)?

All registered institutions that have entered into a specified form of clearing agreement and meet the minimum liquid capital requirements

An Options Trading Exchange Participant of The Stock Exchange of Hong Kong Limited

A body corporate licensed by the Securities and Futures Commission to carry out Type 1 regulated activity

A Clearing Participant of the Hong Kong Futures Exchange Limited

A certified public accountant gives securities advice to clients in a practice unit defined in the Accounting and Financial Reporting Council Ordinance. For the professional-accountant exclusion in Schedule 5 to the SFO, which condition allows that advice to be given without a separate Type 4 licence?

The advice concerns securities already held by the accountant’s clients.

The advice is given only to existing clients of the practice unit.

The advice is wholly incidental to the accountant’s professional accountancy practice.

No separate fee is charged for the advice, and accountancy services remain the main source of revenue.

Under the legal framework of the Securities and Futures Ordinance, which of the following descriptions regarding the differences between civil and criminal proceedings is most accurate?

If a person has been convicted of a criminal offence, the law prohibits the victim from claiming compensation through civil proceedings for the same act.

Both civil courts and criminal courts have the power to impose imprisonment, although the sentences imposed by civil courts are usually shorter.

The core purpose of civil law is to provide legal remedies or compensation to the injured party, rather than to punish the wrongdoer.

Regarding the standard of proof, civil litigation requires proof 'beyond reasonable doubt', while criminal litigation only requires proof on the 'balance of probabilities'.

Under the Hong Kong Companies Ordinance, which statement about a private company making a loan to its director is most accurate?

A company may provide loans only to executive directors or managing directors, but not to non-executive directors.

A company must not lend to a director unless it obtains the prescribed approval of members or another statutory exception applies.

Although a company may not lend to its own directors, it may freely provide loans to directors of its holding company.

A company must not provide a loan to a director personally, but may provide a loan to a related company in which the director holds a controlling interest.

According to the Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules, under which of the following circumstances is a licensed corporation not required to prepare a contract note for its client?

The licensed corporation provides investment advice to a client solely in relation to an initial public offering, without subscribing on the client's behalf

The licensed corporation, acting as an agent, executes securities trading on the Hong Kong Stock Exchange on behalf of the client

The licensed corporation enters into a futures contract transaction on behalf of the client

The licensed corporation enters into a leveraged foreign exchange trading contract with the client

According to current Hong Kong laws and regulatory standards, which of the following statements regarding legal obligations and definitions concerning anti-money laundering and counter-terrorist financing is incorrect?

If a person knows or suspects that any property represents proceeds obtained from drug trafficking, the law requires that person to make a disclosure to an authorized officer.

It is an offence for a person to deal with any property that they know or have reasonable grounds to believe represents proceeds obtained from drug trafficking.

Money laundering refers to the misappropriation of legitimate donations received by a charity, where the funds are transferred to the founder's private business without authorization.

If a person knows that a disclosure has been made to the Joint Financial Intelligence Unit and discloses the contents of that disclosure to another person, this may constitute the offence of "tipping-off".

The Securities and Futures Commission is conducting a formal investigation into suspected market misconduct. An investigator appointed by the SFC, pursuant to section 183 of the Securities and Futures Ordinance , requires a private investor, Ms. Lam, to attend an interview and provide relevant records. Regarding Ms. Lam's legal obligations during the investigation, which of the following statements are correct? (i) As Ms. Lam is merely a private investor and not a licensee, she has no legal obligation to attend the interview. (ii) Ms. Lam is legally obliged to provide explanations for questions raised by the investigator in relation to the investigation matters. (iii) If Ms. Lam, during the interview, knowingly provides the investigator with information that is false or misleading in a material particular, she commits an offence. (iv) If Ms. Lam intentionally provides false documents that are of critical importance to the investigator, she may be convicted of an offence.

(i), (iii)

(iii), (iv)

(ii), (iii), (iv)

(ii), (iv)

In Hong Kong's securities and futures regulatory regime, the Securities and Futures Commission adopts a 'disclosure-based' regulatory approach. Regarding the core operation of this regulatory system, which of the following descriptions is most accurate?

The regulator makes substantive judgments based on the issuer's business merits and investment value to determine whether it qualifies for listing.

By restricting the target audience for high-risk investment products, the regulator ensures that the operational risks of market intermediaries are minimised.

Market participants (such as listed companies) are required to disclose all material information in a timely and accurate manner, enabling investors to assess risks and make decisions independently on the basis of transparent information.

The regulator relies solely on public disclosure of the disciplinary records and integrity ratings of licensed intermediaries as a means of safeguarding market stability.

According to the Securities and Futures Ordinance and relevant SFC regulations, which of the following statements regarding responsible officers of a licensed corporation are correct? (i) Every individual who is an executive director of a licensed corporation must be approved by the SFC as a responsible officer. (ii) Every licensed corporation must appoint at least two responsible officers to supervise its licensed regulated activities. (iii) If a licensed corporation does not hold client assets, it may apply to the SFC for an exemption from the statutory requirement to appoint responsible officers. (iv) Only senior management who are not directly involved in regulated activities may be appointed as responsible officers.

(i), (ii), (iii)

(ii), (iii), (iv)

(iii), (iv)

(i), (ii)

Hengxin Enterprise is an Open-ended Fund Company (OFC) incorporated in Hong Kong. The board of directors has recently decided to voluntarily terminate the company. According to the Code on Open-ended Fund Companies, which of the following is an appropriate action the company must take when initiating the termination process?

Hengxin Enterprise must apply to the SFC to cancel its registration before issuing the termination notice

Hengxin Enterprise must appoint an independent liquidator designated by the SFC to oversee the entire asset-realisation process

Hengxin Enterprise must submit the reasons for termination to the SFC and confirm its solvency.

Hengxin Enterprise must instruct the custodian to freeze all assets immediately until a final winding-up order is obtained from the SFC

Hengxin Asset Management Limited is licensed solely for Type 1 (dealing in securities) and has been approved as an introducing agent under section 58(4) of the Securities and Futures (Financial Resources) Rules. In which situations would it breach the applicable requirements? (i) It refuses to hold client assets for the business it introduces. (ii) Its liquid capital falls below its required liquid capital. (iii) Beyond its restricted introducing business, it provides specific securities investment advice to clients. (iv) Its paid-up share capital is HK$200,000.

(iii), (iv)

(i), (ii), (iv)

(i), (iii)

(ii), (iii)

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HKSI 卷一 基本證券及期貨規例題庫｜Paper 1 一次過合格

題庫簡介

Preview questions

Under the regulatory framework of Hong Kong's financial market, which of the following activities is most likely to be defined as a regulated financial service business and requires a license from or regulation by the relevant regulatory authority?

Under the criminal legal system of Hong Kong, which of the following statements regarding the burden of proof and legal principles is incorrect?

Within the internal control framework of a securities brokerage, in order to implement the Segregation of Duties to reduce fraud and operational risks, which of the following functions should generally be the responsibility of the Front Office rather than the Back Office?

According to the 'Guideline on Anti-Money Laundering and Counter-Financing of Terrorism' issued by the Securities and Futures Commission, which of the following statements regarding a licensed corporation's fulfillment of compliance obligations is correct?

According to the operational structure and relevant rules of the Hong Kong Exchanges and Clearing Limited (HKEX), which of the following persons or entities is qualified to apply for registration as a Clearing Participant of The SEHK Options Clearing House Limited (SEOCH)?

Under the legal framework of the Securities and Futures Ordinance, which of the following descriptions regarding the differences between civil and criminal proceedings is most accurate?

Under the Hong Kong Companies Ordinance, which statement about a private company making a loan to its director is most accurate?

According to the Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules, under which of the following circumstances is a licensed corporation not required to prepare a contract note for its client?

According to current Hong Kong laws and regulatory standards, which of the following statements regarding legal obligations and definitions concerning anti-money laundering and counter-terrorist financing is incorrect?

In Hong Kong's securities and futures regulatory regime, the Securities and Futures Commission adopts a 'disclosure-based' regulatory approach. Regarding the core operation of this regulatory system, which of the following descriptions is most accurate?

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