IICHKSI LE paper 1 English version

hk  时间:2021-02-20  阅读:()

2CEXAM Mock Question

Licensing Examination Paper 1

14-Nov-17

A IB IC IID I

A IB I

D II

A IB I

D I

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Please be reminded our company has no relationship with the Hong Kong Securities and Investment Institute(HKSI) The study materials weprovide are not related to the Hong Kong Securities and Investment Institute(HKSI) in any manner The Hong Kong Securities and

Investment Institute(HKSI)does not offer any HKSI Past Paper or HKSI Mock Paper for sale

A Securitiesborrowing and lending Chapter 1B Clients'AssetManagement Section 3C OperatingATS QID 790D Advisingontrusts Ans D Hot

A IB IIC ID I

A IB IC ID II

A IB IC IID I

Website:www.2cexam.com Phone:21109644 P2

Please be reminded our company has no relationship with the Hong Kong Securities and Investment Institute(HKSI) The study materials weprovide are not related to the Hong Kong Securities and Investment Institute(HKSI) in any manner The Hong Kong Securities and

Investment Institute(HKSI)does not offer any HKSI Past Paper or HKSI Mock Paper for sale

A Auditor Chapter 1B FundManager Section 3

D IndependentFinancial Advisers Ans A Hot

A Enhance international and local confidence in the financial markets of Hong Kong. Chapter 1B Encouragethe developmentof newproducts Section 7C Operateprofitableexchanges inHongKong QID 6D Reducetradinghours Ans A Hot

A IB IC IID III

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Please be reminded our company has no relationship with the Hong Kong Securities and Investment Institute(HKSI) The study materials weprovide are not related to the Hong Kong Securities and Investment Institute(HKSI) in any manner The Hong Kong Securities and

Investment Institute(HKSI)does not offer any HKSI Past Paper or HKSI Mock Paper for sale

B They aim to achieve this goal through financial regulations of an acceptable international standard. Section 7C Maintain the stability of the Hong Kong Dollar. QID 7D

A IB I

D III

Website:www.2cexam.com Phone:21109644 P4

Please be reminded our company has no relationship with the Hong Kong Securities and Investment Institute(HKSI) The study materials weprovide are not related to the Hong Kong Securities and Investment Institute(HKSI) in any manner The Hong Kong Securities and

Investment Institute(HKSI)does not offer any HKSI Past Paper or HKSI Mock Paper for sale

A Disclosure-based Chapter 1

D Fact-based Ans C Hot

B Disclosure-based

A The highest risk areas of the markets are given more regulatory attention. Chapter 1B The lowest risk areas of the markets are given more regulatory attention. Section 11C Regulations are focused on front-line operations of the markets. QID 784D Regulations are focused on logistics operations of the markets. Ans A Hot

A Adisclosure-based approach Chapter 1B A transparency-oriented approach Section 11C Arisk-basedapproach QID 785D Afact-orientedapproach Ans C Hot

Website:www.2cexam.com Phone:21109644 P5

Please be reminded our company has no relationship with the Hong Kong Securities and Investment Institute(HKSI) The study materials weprovide are not related to the Hong Kong Securities and Investment Institute(HKSI) in any manner The Hong Kong Securities and

Investment Institute(HKSI)does not offer any HKSI Past Paper or HKSI Mock Paper for sale

18A MeritBased Chapter 1

D Risk-Based Ans D Hot

A Areview results-oriented approach Chapter 1B Arisk-basedapproach Section 11C Adisclosure-basedapproach QID 783D Aregulations-basedapproach Ans B Hot

D The regulatory body has full discretion in determining all administrative matters. Ans B Hot

Website:www.2cexam.com Phone:21109644 P6

Please be reminded our company has no relationship with the Hong Kong Securities and Investment Institute(HKSI) The study materials weprovide are not related to the Hong Kong Securities and Investment Institute(HKSI) in any manner The Hong Kong Securities and

Investment Institute(HKSI)does not offer any HKSI Past Paper or HKSI Mock Paper for sale

A IB IIC ID II

A Chief Executiveof HKSAR Chapter 2B Financial Secretary Section 2

D ChairmanoftheSFC Ans A Hot

A IB IIC ID II

Website:www.2cexam.com Phone:21109644 P7

Please be reminded our company has no relationship with the Hong Kong Securities and Investment Institute(HKSI) The study materials weprovide are not related to the Hong Kong Securities and Investment Institute(HKSI) in any manner The Hong Kong Securities and

Investment Institute(HKSI)does not offer any HKSI Past Paper or HKSI Mock Paper for sale

A IB IC ID III

A Chief Executiveof HKSAR Chapter 2B Financial Secretary Section 2

D ChairmanoftheSFC Ans B Hot

A Chief Executiveof HKSAR Chapter 2B Financial Secretary Section 2

D ChairmanoftheSFC Ans A Hot

Website:www.2cexam.com Phone:21109644 P 8

Please be reminded our company has no relationship with the Hong Kong Securities and Investment Institute(HKSI) The study materials weprovide are not related to the Hong Kong Securities and Investment Institute(HKSI) in any manner The Hong Kong Securities and

Investment Institute(HKSI)does not offer any HKSI Past Paper or HKSI Mock Paper for sale

A IB III

D II

D Require the SFC to report to him directly on all administrative matters. Ans A Hot

A Financial Secretary Chapter 2B Chief Executiveof HKSAR Section 5C Vice Secretary forFinancial Services andthe Treasury QID 19D The Permanent Secretary for Financial Services and the Treasury Ans D Hot

31A TheHKMA Chapter 2B TheSFC Section 8

D ExchangeFundAuthority Ans A Hot

Website:www.2cexam.com Phone:21109644 P9

Please be reminded our company has no relationship with the Hong Kong Securities and Investment Institute(HKSI) The study materials weprovide are not related to the Hong Kong Securities and Investment Institute(HKSI) in any manner The Hong Kong Securities and

Investment Institute(HKSI)does not offer any HKSI Past Paper or HKSI Mock Paper for sale

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