SFC Licensing Exam Question Practice

Papers 1, 2, 3, 6, 7 and 8

 

ExecutiveKnowledge uses Examinator.online as an online portal for SFC Licensing Exam question practice, accessing the Talking Test BankTM facility. The Talking Test Bank covers practice questions across all above papers and, for each practice question, provides feedback, a relevant extract from the Study Notes and an audio explanation of the answer – yes, you can listen to the lecturer online.  Go to the links below to learn more about each paper, listen to the FREE introductory lecture and try FREE sample questions.  Access to all practice questions for each paper is available for 5, 30 or 60 days.

Take me to the Talking Test Bank:

Paper 1: Fundamentals of Securities and Futures Regulation

Practice questions are available for all 9 topics:

  1. Regulatory overview of the Hong Kong financial industry
  2. Principles of relevant Hong Kong law and the new Companies Ordinance
  3. Securities and Futures Ordinance (“SFO”)
  4. Licensing and registration, and subsidiary legislation
  5. Business conduct and client relations
  6. Business operations and practices
  7. Participating in the Hong Kong exchanges
  8. Corporate finance and SFC authorised products
  9. Market misconduct and improper trading practices

Paper 2: Regulation of Securities

Practice questions are available for all 7 topics:

  1. Regulatory framework
  2. Requirements of relevant subsidiary legislation
  3. Management and supervision of securities business
  4. Dealing in securities traded on the SEHK
  5. Other securities activities
  6. Exchange traded options and over-the-counter (OTC) derivatives
  7. Market misconduct and improper trading practices

Paper 3: Regulation of Derivatives

Practice questions are available for all 8 topics:

  1. Regulatory framework
  2. Licensing and registration
  3. Client securities and money
  4. Conduct of business
  5. Record keeping
  6. Futures trading and settlement
  7. Over-the-counter (OTC) derivatives trading, reporting and clearing
  8. Overview of major overseas futures exchanges and clearing houses

Paper 6: Regulation of Asset Management

Practice questions are available for all 4 topics:

  1. General regulatory framework
  2. Back-office compliance
  3. Asset management regulations
  4. Misconduct

Paper 7: Financial Markets

Practice questions are available for all 7 topics:

  1. The global financial system
  2. Financial system in Hong Kong
  3. The equity market
  4. The debt market
  5. The foreign exchange and derivatives markets
  6. Financial risk management
  7. Applications in the financial sector

Paper 8: Securities

Practice questions are available for all 6 topics:

  1. Overview of securities investments
  2. The Stock Exchange of Hong Kong: primary and secondary markets
  3. Participants in the markets
  4. Types of securities
  5. Stock market administration
  6. Securities analysis