The following updates are examinable from 2 October 2024
TOPIC 1 – REGULATORY FRAMEWORK
- No major updates
TOPIC 2 – LICENSING AND REGISTRATION
The Thirteen SFC-regulated Activities
| 1. | Dealing in securities |
| 2. | Dealing in futures contracts |
| 3. | Leveraged foreign exchange trading |
| 4. | Advising on securities |
| 5. | Advising on futures contracts |
| 6. | Advising on corporate finance |
| 7. | Providing automated trading services |
| 8. | Securities margin financing |
| 9. | Asset management |
| 10. | Providing credit rating services |
| 11. | Dealing in OTC derivative products or advising on OTC derivative products |
| 12. | Providing client clearing services for OTC derivative transactions |
| 13. | Providing depositary services for relevant CISs |
Type 11 and Type 12 regulated activities are not yet fully in force
TOPIC 3 – CLIENT SECURITIES AND MONEY
- No major updates
TOPIC 4 – CONDUCT OF BUSINESS
- No major updates
TOPIC 5 – RECORD KEEPING AND CONTRACTS LIMITS AND REPORTING
- No major updates
TOPIC 6 –FUTURES TRADING AND SETTLEMENT
- No major updates
TOPIC 7 –OVER-THE-COUNTER (OTC) DERIVATIVES TRADING, REPORTING AND CLEARING
- No major updates
TOPIC 8 –OVERVIEW OF MAJOR OVERSEAS FUTURES EXCHANGES AND CLEARING HOUSES
- No major updates
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