Fundamentals of Securities and Futures Regulation
QUESTIONS UPDATED TO NOVEMBER 2020
A one and a half-hour exam consisting of 60 multiple choice questions. To pass, you must answer 42 questions (70%) correctly. Recently, the average pass rate was 52%.
Talking Test BankTM consists of over 540 practice questions across all 9 Topics, consistent with materials in version 3.2 of the LE Study Manual. Each question gives feedback, a relevant extract from ExecutiveKnowledge Study Notes and an audio explanation of the answers - yes, you can listen to the lecturer online.
Practice all 9 topics to learn the material then attempt practice exams in units of 20, 40 and 60 questions to get exam ready.
Short Sharp ShockTM gives full access to the Talking Test Bank for 5, 10 or 15 days.
Try the free sample questions below, one per topic, and have a listen to the Introductory Lecture.
Syllabus covers nine 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
- Business conduct and client relations
- Business operations and practices
- Participating in the Hong Kong exchanges
- Accessing public capital
- Market misconduct and improper trading practices