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Free Lectures for Paper 1 – Fundamentals of Securities and Futures Regulation

By ExecutiveKnowledge
June 2, 2020

Free Lectures

Study Notes

Free Paper 1 Lectures

  • Paper 1 Introductory Lecture

Study Notes

  • Paper 1 Notes - Contents Page

Free Paper 1 Lectures

  • Topic 1 Free Lecture

Study Notes

  • Topic 1 Notes - Regulatory Overview of the Hong Kong Financial Industry

Free Paper 1 Lectures

  • Topic 2 Free Lecture

Study Notes

  • Topic 2 Notes - Principles of Relevant Hong Kong Law and the New Companies Ordinance

Free Paper 1 Lectures

  • Topic 3 Free Lecture - Part 1
  • Topic 3 Free Lecture - Part 2

Study Notes

  • Topic 3 Notes - Securities and Futures Ordinance (SFO)

Free Paper 1 Lectures

  • Topic 4 Free Lecture - Part 1
  • Topic 4 Free Lecture - Part 2
  • Topic 4 Free Lecture - Part 3

Study Notes

  • Topic 4 Notes - Licensing and Registration and Subsidiary Legislation

Free Paper 1 Lectures

  • Topic 5 Free Lecture - Part 1
  • Topic 5 Free Lecture - Part 2

Study Notes

  • Topic 5 Notes - Business Conduct and Client Relations

Free Paper 1 Lectures

  • Topic 6 Free Lecture - Part 1
  • Topic 6 Free Lecture - Part 2

Study Notes

  • Topic 6 Notes - Business Operations and Practices

Free Paper 1 Lectures

  • Topic 7 Free Lecture - Part 1
  • Topic 7 Free Lecture - Part 2

Study Notes

  • Topic 7 Notes - Participating in the Hong Kong Exchanges

Free Paper 1 Lectures

  • Topic 8 Free Lecture - Part 1
  • Topic 8 Free Lecture - Part 2

Study Notes

  • Topic 8 Notes - Accessing Public Capital

Free Paper 1 Lectures

  • Topic 9 Free Lecture

Study Notes

  • Topic 9 Notes - Market Misconduct and Improper Trading Practices

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