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Home > CPD / CPT / SFC Training > SFC Intermediaries Licensing Examination Preparatory Courses

 

 

 

SFC Intermediaries Licensing Examination Preparatory Courses

HKIFE’s objective in organizing these preparatory courses is to assist students passing the Licensing Examination in an efficient and effective manner. 

Four characteristics of these courses:

  1. Well-experienced speakers
  2. Concise and easy –to-read handouts
  3. Comprehensively covered revision exercises
  4. Mock Examination

To Do the Online Trial Version Immediately, Please Select a Paper:

卷 一 模 擬 試 題
卷 七 模 擬 試 題
卷 八 模 擬 試 題

 

Paper 1 – Fundamentals of Securities and Futures Regulation

  1. Regulatory Overview of the Hong Kong Financial Industry
  2. Principles of relevant Hong Kong Law and the Companies Ordinance
  3. The Securities and Futures Ordinance (SFO)
  4. Licensing and Subsidiary Legislation
  5. Business Conduct and Client Relations
  6. Business Operations and Practices
  7. Securities, Options and Futures
  8. Other SFC Regulated Activities
  9. Market Misconduct, Improper Trading Practices and Compliance

 

Paper 7 – Financial Markets

  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

  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

 

 

 

 

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