專業考試證券期貨
HKSI 卷二 證券規例題庫｜Paper 2 一次過合格
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1200 題 專業 8/27/2026
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HKSI證券及期貨從業員資格考試卷二 Paper 2「證券規例」雙語題庫。按HKSI LE Paper 2考綱整理，涵蓋監管架構、發牌制度、客戶資產、操守、交易結算、場外衍生工具及市場失當行為，附情境…
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免費體驗 20 題一間證券公司已獲技術接駁，可把買賣指示傳送至香港聯合交易所，但其名稱尚未列入交易所保存的交易所參與者名冊。根據《交易所規則》的定義，下列哪項最準確？ A securities firm has technical connectivity to send orders to The Stock Exchange of Hong Kong, but its name has not yet been entered in the Exchange's roll of Exchange Participants. Which statement is most accurate under the Rules of the Exchange?
根據《交易所規則》，「交易所」一詞指哪一個實體？ Under the Rules of the Exchange, which entity does the term “Exchange” mean?
一名交易所參與者在場外與客戶協議買賣一項合資格證券（並非中國通證券），其後按規定把交易向交易所申報。就《交易所規則》所載定義而言，哪項分析最恰當？ An Exchange Participant agrees off-exchange with a client to trade an Eligible Security that is not a China Connect Security, and subsequently reports the trade to the Exchange as required. Which analysis best fits the definition in the Rules?
某投資安排是單位信託，已在香港聯合交易所買賣，但沒有另行聲稱自己是封閉式公司。根據《交易所規則》所載ETF定義，哪項結論最穩妥？ An investment arrangement is a unit trust traded on The Stock Exchange of Hong Kong and is not separately described as a closed-ended company. Under the ETF definition in the Rules, which conclusion is the most supportable?
一份期權合約按照《期權交易規則》在香港聯合交易所買賣。就「交易所買賣期權」的定義而言，下列哪項正確？ An Options Contract is traded on The Stock Exchange of Hong Kong under the Options Trading Rules. Which statement is correct for the definition of Exchange Traded Options?
一名新入職員工把OTP-C描述為由證券公司自行安裝、專門處理客戶結算的內部系統。根據《交易所規則》，應如何更正？ A new employee describes OTP-C as an internal system installed by securities firms solely for client settlement. How should this be corrected under the Rules?
下列哪項最準確描述《證券及期貨條例》及其附屬法例在香港證券及期貨業監管架構中的地位？ Which statement most accurately describes the place of the SFO and its subsidiary legislation in Hong Kong's regulatory framework for the securities and futures industry?
一家海外金融集團擬在香港推出三項性質不同的金融產品與服務。項目主管認為可把所有業務當成同一產品處理，並把公司慣例視為香港證券及期貨業的主要法例。進行初步監管定位時，哪項做法最恰當？ An overseas financial group plans to introduce three different financial products and services in Hong Kong. The project head proposes treating every business as the same product and treating firm practice as the principal legislation for the securities and futures industry. Which approach is most appropriate for the initial regulatory mapping?
某公司在宣傳冊自稱「HKEX會員」，並以此證明自己必然是《交易所規則》下的交易所參與者；公司只展示可連接市場的證明，沒有展示其名稱已列入交易所名冊。下列哪項回應最準確？ A firm calls itself an “HKEX member” in a brochure and says this necessarily proves Exchange Participant status under the Rules. It shows evidence of market connectivity but none that its name is in the Exchange's roll. Which response is most accurate?
交易所參與者在交易所達成一宗非中國通證券的合資格證券交易，但因內部系統延誤，尚未另行向交易所提交交易申報。只按「交易所買賣」定義，下列哪項最合理？ An Exchange Participant effects a trade in a non-China-Connect Eligible Security on the Exchange, but an internal delay means no separate trade report has yet been submitted. Looking only at the Exchange Trade definition, which conclusion is most reasonable?
產品團隊把一項在交易所買賣的單位信託稱為「交易所買賣期權」，理由是兩者都在交易所買賣。根據《交易所規則》的相關定義，哪項分析最準確？ A product team calls a unit trust traded on the Exchange an “Exchange Traded Option” because both products trade on the Exchange. Which analysis is most accurate under the relevant definitions in the Rules?
一家券商以自家訂單管理系統整理客戶指示，再把證券買賣指示傳送至OTP-C。內部審核報告因此稱兩個系統都由券商營運。根據《交易所規則》對「系統」的界定，哪項修正最準確？ A broker uses its own order-management system to organize client instructions and then transmits securities orders to OTP-C. An internal audit report therefore says that the broker operates both systems. Which correction is most accurate under the Rules' definition of the “System”?
甲公司已正式列入交易所參與者名冊，但其獲准買賣資格已不存在。乙公司獲准按規則買賣，但名稱尚未列入名冊。只按交易所參與者定義，哪項正確？ Firm X remains in the Exchange Participant roll but no longer has permission to trade. Firm Y is permitted under the Rules to trade but has not yet been entered in the roll. Looking only at the definition, which statement is correct?
交易所參與者向交易所申報兩宗交易：交易一涉及非中國通的合資格證券；交易二涉及中國通證券。只按《交易所規則》所載「交易所買賣」定義，哪項判斷最準確？ An Exchange Participant reports two trades to the Exchange: Trade 1 concerns a non-China-Connect Eligible Security; Trade 2 concerns a China Connect Security. Looking only at the Exchange Trade definition in the Rules, which judgment is most accurate?
基金經理比較兩項安排：甲是開放式基金，只在交易所上市；乙是類似投資安排，只在交易所買賣。兩者均符合各自所述事實。單憑ETF定義中的「上市及／或買賣」，哪項結論最合適？ A manager compares two arrangements: X is an open-ended fund listed only on the Exchange; Y is a similar investment arrangement traded only on the Exchange. On the phrase “listed and/or traded” in the ETF definition alone, which conclusion is most appropriate?
某期權在香港由兩方私下協議，沒有在香港聯合交易所買賣，也沒有按照《期權交易規則》進行。只按交易所買賣期權定義，哪項正確？ An option is privately agreed by two parties in Hong Kong, is not traded on The Stock Exchange of Hong Kong, and is not handled under the Options Trading Rules. Looking only at the definition of Exchange Traded Options, which statement is correct?
下列哪項配對最能正確區分市場實體與交易基建？ Which pairing best distinguishes a market entity from trading infrastructure?
培訓員說：「既然《證券及期貨條例》是主要法例，交易所規則內『交易所買賣』的產品界線便可忽略；任何已申報的證券交易都一律符合。」哪項評價最準確？ A trainer says: “Because the SFO is principal legislation, the product boundary in the Exchange Rules' definition of Exchange Trade can be ignored; every reported securities trade qualifies.” Which evaluation is most accurate?
一名考生把香港的產品服務概覽寫成：「交易所買賣基金必定是期權合約，而交易所買賣期權必定是單位信託。」根據引言學習目標及兩項產品定義，哪項修正最恰當？ A candidate writes in a market overview: “An ETF must be an Options Contract, while an Exchange Traded Option must be a unit trust.” Based on the introductory learning outcome and the two product definitions, which correction is best?
下列哪一組「術語—描述」全部正確？ Which set of term-description pairings is entirely correct?
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