Resources :
Resources :
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[…]
TOPIC 1 – OVERVIEW OF THE DERIVATIVES MARKETS 1. Exchange-Traded Derivatives In recent years, the global value of exchange-traded futures contracts has grown significantly. Three features of exchange-traded markets are: Novation Once a completed[…]
TOPIC 1 – REGULATORY OVERVIEW OF THE HONG KONG FINANCIAL INDUSTRY 1. Philosophy and Systems of Regulation Share offers and listing matters can be referred to as merit-based or disclosure-based. Merit-based Regulation Objective is[…]
Commentators have lamented the sad state of multiple-choice examinations as a way of verifying financial market practitioners’ knowledge. Many experienced finance executives arriving in Hong Kong, to take up exciting job opportunities, find themselves pouring[…]
The following updates are examinable from 30 January 2021 TOPIC 1 – GENERAL REGULATORY FRAMEWORK Update to “asset management”: Asset management covers the management of CISs, as well as the activities of private equity[…]
The following updates are examinable from 20 January 2021 TOPIC 1 – REGULATORY FRAMEWORK Material updated regarding SFC Operational Divisions Corporate Finance Division: Vets listing applications alongside the SEHK and intervenes in early stages[…]
The following updates are examinable from 30 December 2020 TOPIC 1 – OVERVIEW OF THE LEGAL AND REGULATORY STRUCTURE AND CODE OF CONDUCT Revision of Corporate Finance Division functions Corporate Finance Division (important for[…]
The following updates are examinable from 1 December 2020 TOPIC 1 – OVERVIEW OF THE ASSET MANAGEMENT INDUSTRY Material added relating to Private Banking Customers, Wealth Management Connect and Credit Rating Agencies Private Banking[…]
The following updates are examinable from 23 November 2020 TOPIC 1 – REGULATORY FRAMEWORK Terminology updates TOPIC 2 – LICENSING AND REGISTRATION No updates TOPIC 3 – CLIENT SECURITIES AND MONEY No updates TOPIC[…]
