Test on the Compliance Induction / Refresher Training 2024

Which of the following are the requirement for the certifier when certifying a copy document?i. The certifier must sign and date the copy ii. The certifier must print their name clearly in capital letters underneath the signature.iii. The certifier must clearly indicate their position or capacity on the iv. The certifier must state that the copy document is an exact replica of the original.

You may accept gifts given on festive or special occasions, subject to a maximum limit of HKD1,000 in value, DESPITE the acceptance could affect your objectivity in conducting business or induce you to act against the interest of the Company.

Which of the following statement(s) are correct?

Licensed representatives must undertake at least __ CPT hours including at least __ CPT hours on topics related to ethics or compliance and Responsible Officers ( “RO”) must fulfil at least ____CPT hours per calendar year.

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