Regulation of Securities
QUESTIONS UPDATED TO JUNE 2020
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 70%.
Talking Test BankTM consists of over 290 practice questions across all 7 Topics, consistent with materials in version 2.6 of the LE Study Manual. Each question gives feedback, a relevant extract from the ExecutiveKnowledge Study Notes and an audio explanation of the answers - yes, you can listen to the lecturer online.
Practice all 7 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 seven topics:
- Regulatory framework
- Requirements of relevant subsidiary legislation
- Management and supervision of securities business
- Dealing in securities traded on the SEHK
- Other securities activities
- Exchange traded options and over-the-counter (OTC) derivatives
- Market misconduct and improper trading practices