Resources :
Resources :
The following updates are examinable from 1 March 2024 TOPIC 1 – REGULATORY OVERVIEW OF THE HONG KONG FINANCIAL INDUSTRY Minor updates to reflect changes in AMLO and recognition of Virtual Asset Exchanges TOPIC[…]
The following updates are examinable from 29 November 2023 TOPIC 1 – REGULATORY FRAMEWORK Material updated regarding Continuous Professional Training A licensed representative or relevant individual must complete 10 CPT hours per calendar year,[…]
The following updates are examinable from 1 June 2023 TOPIC 1 – REGULATORY OVERVIEW OF THE HONG KONG FINANCIAL INDUSTRY Minor updates to Financial Secretary responsibilities Update of number of IOSCO members TOPIC 2[…]
The following updates are examinable from 1 April 2023 TOPIC 1 – OVERVIEW OF SECURITIES INVESTMENTS Dates and data updated for the Main Board, GEM, the debt market, global securities market and Hong Kong[…]
The following updates are examinable from 1 March 2022 TOPIC 1 – THE GLOBAL FINANCIAL SYSTEM Dates and data updated for the Asian Infrastructure Investment Bank Material added relating to types of financial markets:[…]
The following updates are examinable from 15 November 2022 TOPIC 1 – OVERVIEW OF THE LEGAL AND REGULATORY STRUCTURE AND CODE OF CONDUCT Updates to Corporate Governance: Principles of Good Corporate Governance The Corporate[…]
The following updates are examinable from 7 September 2022 TOPIC 1 – GENERAL REGULATORY FRAMEWORK Updates to SFC: The directors of SFC are appointed by the Chief Executive of HKSAR and are: The[…]
TOPIC 1 – GENERAL REGULATORY FRAMEWORK 1. Key SFO Definitions Asset management Defined as: providing the service of either “real estate investment scheme management” or “securities or futures contracts management”. REITS are covered in[…]
The following updates are examinable from 1 April 2022 TOPIC 1 – OVERVIEW OF THE ASSET MANAGEMENT INDUSTRY Dates and data updated TOPIC 2 – CLIENT OBJECTIVES AND THE PRODUCTS AVAILABLE Material added relating[…]
TOPIC 1 – REGULATORY FRAMEWORK 1. Definitions of Futures Contracts Under the Securities and Futures Ordinance, futures contracts are defined to include: Contracts for differences (meeting either the futures contract or options on futures[…]
