證券期貨從業員資格考試卷一模擬試題 QID19

wyk747 LE Paper 1 Mock Question

已發展金融中心的政府設法防止下列哪項活動的發生? I 恐怖活動的集資 II 基金經理使令資金進出該金融中心 III 投資項目的轉換,如物業及外滙之間的轉換 IV 國際營運者狙擊當地貨幣 A. I, II B. I, IV C. I, II, IV D. II, III, IV 答案 [sociallocker id=”3125″]B[/sociallocker]

LE Paper 1 Mock Question QID18

wyk747 LE Paper 1 Mock Question

Which of the following organization is responsible for maintaining the currency stability in Hong Kong? A. Exchange Fund Committee B. SFC C. HKMA D. Office of the Chief Executive of the HKSAR Answer [sociallocker id=”3125″]D[/sociallocker]

LE Paper 1 Mock Question QID17

wyk747 LE Paper 1 Mock Question

Under the current ministerial system, the SFC has the closest regular contact in government with﹖ A. Chief Executive of HKSAR B. Financial Secretary C. Head for Financial Services and the Treasury D. The Permanent Secretary for Financial Services and the Treasury 答案 [sociallocker id=”3125″]D[/sociallocker]

LE Paper 1 Mock Question QID16

wyk747 LE Paper 1 Mock Question

Which of the following entities can require the SFC to provide him with information on the principles, practices and policy it is applying in order to meet its objectives and perform its functions. A. Chief Executive of HKSAR B. Financial Secretary C. Chairman of the HKMA D. Chairman of the SFC Answer [sociallocker id=”3125″]B[/sociallocker]

LE Paper 1 Mock Question QID15

wyk747 LE Paper 1 Mock Question

Which of the following can give written directions to the SFC regarding how it should seek to meet its objectives and how it should perform its functions? A. Chief Executive of HKSAR B. Financial Secretary C. Chairman of the HKMA D. Chairman of the SFC Answer [sociallocker id=”3125″]A[/sociallocker]

LE Paper 1 Mock Question QID14

wyk747 LE Paper 1 Mock Question

Which of the following appoint the board of directors of the SFC? A. Chief Executive of HKSAR B. Financial Secretary C. Chairman of the HKMA D. Chairman of the SFC Answer [sociallocker id=”3125″]A[/sociallocker]

LE Paper 1 Mock Question QID13

wyk747 LE Paper 1 Mock Question

The SFO is applicable to which of the following individual? I. Fund Managers II. Borrower III. Hong Kong Mortgage Corporation IV. Professional Options Trader A. I, IV B. II, III C. I, III D. II, III, IV 答案 [sociallocker id=”3125″]A[/sociallocker]

LE Paper 1 Mock Question QID12

wyk747 LE Paper 1 Mock Question

Which of the following descriptions are correct? I. All registered and licensed banks are licensed by the SFC II. Some of the activities conducted by registered institutions are supervised by the SFO III. A memorandum of understanding (“MOU”) has been signed between the SFC and the HKMA setting out their roles and responsibilities so as to minimize overlaps under the …

LE Paper 1 Mock Question QID11

wyk747 LE Paper 1 Mock Question

Which of the following are the financial secretary’s duties I. Attend all SFC meetings and committees II. Assign the chairman of the SFC III. The Financial Secretary can require the SFC to provide him with information on the principles, practices and policy it is applying in order to meet its objectives and perform its functions. IV. The Chairman and of …

LE Paper 1 Mock Question QID10

wyk747 LE Paper 1 Mock Question

The SFC should seek approval from the financial secretary regarding the following matters﹖ I. Annual Report II. Financial Statements III. Considerations in hiring the directors of the SFC IV. Borrowing Demands A. I, II B. I, II, IV C. I, II, III, IV D. III, IV Answer [sociallocker id=”3125″]B[/sociallocker]