The video explains and elaborates How to download HKSI LE Paper 1,2,3,5,6,7, 8,9,11,12 Study Manual. When I took it I used Kaplan’s online study guide. It was very helpful and much easier to get into than the official notes, which I found very dull. Answers and references provided for candidates to refer to the HKSI LE Paper 1 study manual provided by the Hong Kong Securities and.
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Meet mxnual for investment Topic 1 II. Employment opportunities for locals Chapter 1 III. Employment opportunities for expatriates Section 1 IV. The demands for investment opportunities II. Employment opportunities for professional locals in overseas III. Local employment opportunities for unskilled local IV. Meet demands for investment, capitalization and risk management.
Meet demands for employment Topic 1 III. Provide an avenue for price discovery Chapter 1 IV. Fund Managers Chapter 1 II. Borrower Section 1 III. B Mr Chan manages a lo of assets for his friend with terminal illness for free, which includes the management Section of investment on securities and futures. QIDC Mr Chan provides a loan to his sister in law and charges interests that’s far lower than the benchmark lending Answer rate at banks. Provide margin financing and accomodation on securities trading Hot III.
Conducting stock borrowing manuxl lending transactions. Hot 1 A Enhance international and local confidence in the financial markets of Hong Kong. Answer A By ensuring that the regulations they apply are necessary for the proper papwr of the financial markets Hot in Hong Kong and maintains Hong Kong’s position as a leading financial centre.
Topic B They aim to achieve this goal through financial regulations khsi an acceptable international standard. C Maintain the stability of the Hong Kong Dollar. Chapter 1 D Take measures that can enhance international and local confidence in the hksl markets of Hong Kong.
Merit Based Topic 1 II.
Welcome to PassHKSI for Papers 1, 7, 8 & 9
Disclosure Based Section 8 IV. QID 9 A A disclosure-based philosophy- it assumes that maximum disclosure is required to protect investors, but there is obligation on the part of the participants to take Answer A responsibility for using the full information to make their own independent investment decisions. Hot 1 B A risk-based philosophy- it is assumed that maximum disclosure is required to protect investors, but there is Topic 1 obligation on the part of the participants to take responsibility for using the full information to make their Papdr 11 own independent investment decisions.
Section 10 D C A merit-based philosophy- bksi is assumed that maximum disclosure is required to protect investors, but there QID is shudy on the apart of the participants to take responsibility for using the full information to make their Answer own independent investment decisions.
HKSI Diploma Programme Examination Paper 1 Study Manual – Ying-foon Chow – Google Books
Hot D A merit-based philosophy – the regulatory approach is based on the idea of filtering undesirable players and undesirable Topic 1 offerings. Chapter 1 Section Which system or philosophy of regulations is adopted by the SFC to regulate securities and futures markets? Hot 1 A Merit-Based, meaning that the regulations are designed to diminish and eliminate unfavourable investment Topic products or schemes.
Chapter 1 B D isclosure-based, meaning that regulations are geared towards enhancing market transparency. D F ree-Based, meaning that the regulations are designed to provide the greatest freedom to investors investing Answer C Hot in Hong Kong. Hot 11 A The highest risk areas of the markets are given more regulatory attention.
Topic B T he lowest risk areas of the markets are given more regulatory attention. Chapter A C Regulations are hkei on front-line operations of the markets. Section D Regulations are focused on logistics operations of the markets. Chapter 1 Section 16 B The Government can intervene if there are volatile fluctuations in the securuties markets.
Topic20 Which of the hkai is an accurate description of Hong Kong’s financial regulatory structure? Chapter 1 A Led by the Financial Secretary, the Financial Secretary has effective overall authority over the regulatory Section 16 bodies. QID B B Atudy regulatory body has a system of checks and balances to ensure the interests of the stakeholders are not Answer violated. Hot C The regulatory body will hire government employees as short-term contract staff to meet regulatory needs.
D The regulatory body has full discretion in determining all administrative matters.
HKSI LE Paper 1 Pass Paper Question Bank (QB) Pages 1 – 10 – Text Version | FlipHTML5
The number of exchanges decreased II. The government impose direct control on the industries III. Suggested by the Davison Committee, there is only one regulator for the Securities and Banking Manjal. A consolidation of a number of ordinances regulating the securities and futures industries.
The Financial Secretary kanual require the SFC to provide him with information on the principles, practices Chapter 2 and policy it is applying in order to meet its objectives and perform its functions. A Require the SFC to provide him with information on the principles, Chapter 2 practices and policy it is applying in order to meet its objectives and perform its functions.
Answer A C Hear appeals against the decisions made by the SFC relating to the licensing or registration of intermediaries Hot 1 and certain other matters. Protect the interest of insurance policies holder II. Maintain currency stability Topic 1 III. Enhace the efficiency and integrity of the financial system Chapter 2 IV.
The financing of terrorist activities. The flows of funds in and out of the financial centre by fund managers. Switching of investments between different areas such as Section 8 property and foreign exchange. Attacks on the local currency by international operators.
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