40 Things You Should Know to Pass HKSI Paper 3 – Regulation of Derivatives
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 […]
40 Things You Should Know to Pass HKSI Paper 9 – Derivatives
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 […]
60 Things You Should Know to Pass HKSI Paper 1 – Securities and Futures Regulation
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 […]
SFC Licensing Exams – Check Your Brain at the Door
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 […]
Recent Updates to HKSI Paper 6 Version 2.5 Manual – Regulation of Asset Management
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 […]
Recent Updates to HKSI Paper 2 Version 2.7 Manual – Regulation of Securities
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 […]
Recent Updates to HKSI Paper 5 Version 3.2 Manual – Regulation of Corporate Finance
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 […]
Recent Updates to HKSI Paper 12 Version 3.4 Manual – Asset Management
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 […]