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LE Paper 1: Fundamentals of Securities and Futures Regulation卷一：基本證券及期貨規例

The regulatory framework, licensing regime, conduct requirements and market misconduct provisions.監管框架、發牌制度、操守要求及市場失當行為條文。

8Free sample questions免費樣本題
8Questions in the bank完整題庫題目
60Questions in the real exam正式考試題量
3Topics考試範疇

TOPIC COVERAGE章節覆蓋

Syllabus outline考試大綱

Practise by topic or take a timed mock exam. Answers include a written explanation and your progress is saved to your account.可按範疇練習或進行限時模擬測驗。每題附詳細解析，作答進度會儲存到你的帳戶。

T1
Regulatory Architecture監管架構3 questions 題

Syllabus weight考綱佔比 35%

  • SFC and regulated activities證監會與受規管活動
  • Licensing and registration發牌與註冊
  • Exchange and clearing house roles交易所與結算所的角色
Practise this topic練習此範疇
T2
Conduct Requirements操守要求3 questions 題

Syllabus weight考綱佔比 35%

  • Client asset protection客戶資產保障
  • Know your client and suitability認識客戶與合適性
  • Disclosure and record keeping披露與備存紀錄
Practise this topic練習此範疇
T3
Market Misconduct市場失當行為2 questions 題

Syllabus weight考綱佔比 30%

  • Insider dealing內幕交易
  • Market manipulation and false trading市場操控與虛假交易
  • Disclosure of inside information披露內幕消息
Practise this topic練習此範疇

Mock exam模擬測驗

60 questions in 90 minutes, marked on submission with per-topic feedback.60 題，限時 90 分鐘，交卷後自動評分並顯示各範疇表現。

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Every question, per-question progress, wrong-answer book and accuracy by topic.全部題目、逐題進度、錯題本與各範疇正確率。

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