Test on the Compliance Induction / Refresher Training 2024

Your Full Name

Staff must be appropriately licensed by the SFC before he/she can conduct regulated activities.

BOSCI (including license subsidiaries) must keep records that are sufficient to: 

With regard to SFC’s requirement of bookbuilding and placing activities, which of the following items are the scope of coverage?i. collating investors orders to facilitate pricing and allocation of securities (bookbuilding activities) IN Hong Kong ii. marketing or distributing securities pursuant to the bookbuilding exercise (placing activities) IN Hong Kong iii. advising, guiding and assisting the issuer client in those bookbuilding and placing activities OUTSIDE Hong Kongiv. advising, guiding and assisting the issuer client in those bookbuilding and placing activities IN Hong Kong

Employee Trading Account means an account which can be used to hold or trade financial products and includes:i. accounts in which the employees hold beneficial interestsii. accounts in which the employee has the power or control, directly or indirectly, to make investment decisions;iii. accounts of the employee himself / herself;iv. accounts of the employee’s minor children;