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Hong Kong - HKSI LE
Paper 3

Regulation of Derivatives


A one hour exam consisting of 40 multiple choice questions.  To pass, you must answer 28 questions (70%) correctly. Recently, the average pass rate was 82%.

Talking Test BankTM consists of over 300 practice questions across all 8 Topics, consistent with materials in version 2.6 of the LE Study Manual. .  Each question gives feedback, a relevant extract from the Study Notes and an audio explanation of the answers - yes, you can listen to the lecturer online.

Practice all 8 topics to learn the material then attempt practice exams in units of 20 and 40 questions to get exam ready.

Short Sharp ShockTM gives full access to the Talking Test Bank for 5 or 10 days.

Try the free sample questions below and have a listen to the Introductory Lecture.

Syllabus covers eight topics:

  1. Regulatory framework
  2. Licensing and registration
  3. Client securities and money
  4. Conduct of business
  5. Record keeping
  6. Futures trading and settlement
  7. Over-the-counter (OTC) derivatives trading, reporting and clearing
  8. Overview of major overseas futures exchanges and clearing houses

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