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Test on the Compliance Induction / Refresher Training 2024

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Employee trades in which of the following product(s) are required to be pre-approved?i. Single name securities (e.g. listed shares of a single issuer)ii. Derivatives (where the underlying are single name securities)iii. Funds (e.g. ETF and Mutual funds)iv. Futures and options (where the underlying are single name securities)

A. (i) only

B. (iii) and (iv) only

C. (i), (ii), (iv) only

D. (i), (ii), (iii) and (iv)

When you are in possession of inside information / private side employee / being wall crossed, you must NOT:

A. Trade any of the relevant company’s securities (including bonds and derivatives)

B. Advise on the relevant company’s securities

C. Encourage others to deal in the relevant company’s securities

D. Share the information with friends outside BOSCI.

E. All of the above

Which of the following statement(s) are correct? i. A client connected with non-Hong Kong PEPs must be high riskii. A client connected with Hong Kong PEPs may be of neutral riskiii. PEPs generally do NOT include middle-ranking or more junior officials iv. For high risk clients, Enhanced Client Due Diligence (EDD) must be carried out to mitigate the risk.

A. (i) and (ii) only

B. (i), (ii), (iii) only

C. (ii), (iii), (iv) only

D. (i), (ii), (iii) and (iv)

If you wish to offer advantages of above HKD1,000 to business associates, you must seek prior approval from the Senior Management and the Compliance.

True

False

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.

True

False

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