受規管活動
Regulated Activity |
認可行業資格
Recognised Industry Qualifications |
有關本地監管架構的考試
Local Regulatory Framework Papers |
持牌代表
Representatives |
負責人員
Responsible Officers |
持牌代表
Representatives |
負責人員
Responsible Officers |
RA1
證券交易
Dealing in Securities |
卷七 + 卷八
Paper 7 + Paper 8 |
卷一
Paper 1 |
卷一 + 卷二
Paper 1 + Paper 2 |
RA2
期貸合約交易
Dealing in Futures Contracts |
卷七 + 卷九
Paper 7 + Paper 9 |
卷一
Paper 1 |
卷一 + 卷三
Paper 1 + Paper 3 |
RA4
就證券提供意見
Advising on Securities |
卷七 + 卷八
Paper 7 + Paper 8 |
卷一
Paper 1 |
卷一 + 卷二
Paper 1 + Paper 2 |
RA5
就期貸合約提供意見
Advising on Futures Contracts |
卷七 + 卷九
Paper 7 + Paper 9 |
卷一
Paper 1 |
卷一 + 卷三
Paper 1 + Paper 3 |
RA6
就機構融資提供意見
Advising on Corporate Finance |
卷七 + 卷十一
Paper 7 + Paper 11 |
卷一
Paper 1 |
卷一 + 卷五
Paper 1 + Paper 5 |
RA8
提供證券保證金融資
Securities Margin Financing |
卷七 + 卷八
Paper 7 + Paper 8 |
卷一
Paper 1 |
卷一 + 卷二
Paper 1 + Paper 2 |
RA9
提供資產管理
Asset Management |
卷七 + 卷十二
Paper 7 + Paper 12 |
卷一
Paper 1 |
卷一 + 卷六
Paper 1 + Paper 6 |
卷一 - 基本證券及期貨規例 |
Paper 1 - Fundamentals of Securities and Futures Regulation |
第1章：香港金融業監管概覽
第2章：有關的香港法例的原則及《公司條例》
第3章：《證券及期貨條例》
第4章：發牌及附屬條例
第5章：業務操守及客戶關係
第6章：業務運作及實務
第7章：證券、期權及期貨
第8章：其他證監會規管活動
第9章：市場失當行為、不當交易行為及遵守法則 |
Topic 1: Regulatory Overview of the Hong Kong Financial Industry
Topic 2: Principles of relevant Hong Kong Law and the Companies Ordinance
Topic 3: The Securities and Futures Ordinance (SFO)
Topic 4: Licensing and Subsidiary Legislation
Topic 5: Business Conduct and Client Relations
Topic 6: Business Operations and Practices
Topic 7: Securities, Options and Futures
Topic 8: Other SFC Regulated Activities
Topic 9: Market Misconduct, Improper Trading Practices and Compliance |
卷二 - 證券規例 |
Paper 2 - Regulation of Securities |
第1章：監管架構
第2章：有關的法定及相關要求
第3章：證券業務管理及監管
第4章：買賣在聯交所交易的證券
第5章：其他證券活動
第6章：期權及場外衍生工具
第7章：市場失當行為及罪行 |
Topic 1: Regulatory Framework
Topic 2: Relevant Statutory and Related Requirements
Topic 3: Management and Supervision of Securities Businesses
Topic 4: Dealing in Securities Traded on the Stock Exchange of Hong Kong (SEHK)
Topic 5: Other Securities Activities
Topic 6: Options and OTC Derivatives
Topic 7: Market Misconduct and Offences |
卷三 - 衍生工具規例 |
Paper 3 - Regulation of Derivatives |
第1章：監管架構
第2章：發牌
第3章：客戶款項及證券
第4章：業務操守
第5章：備存記錄
第6章：期貨交易及交收
第7章：主要的海外期貨交易所及結算所概覽 |
Topic 1: Regulatory Framework
Topic 2: Licensing
Topic 3: Client Money and Securities
Topic 4: Conduct of Business
Topic 5: Record Keeping
Topic 6: Futures Trading and Settlement
Topic 7: Overview of Major Overseas Futures Exchanges and Clearing Houses |
卷五 - 機構融資規例 |
Paper 5 - Regulation of Corporate Finance |
第1章：法例與規管架構及操守準則概覽
第2章：在港交所主板和創業板上市
第3章：收購、合併及股份購回
第4章：其他事項 |
Topic 1: Overview of the Legal and Regulatory Structure and Code of Conduct
Topic 2: Listing on the HKEx Main Board and the GEM
Topic 3: Take-overs and Mergers and Share Repurchases
Topic 4: Miscellaneous |
卷六 - 資產管理規例 |
Paper 6 - Regulation of Asset Management |
第1章：法例及規管架構概覽
第2章：投資產品的規管
第3章：中介人的規管：發牌及附屬條例
第4章：中介人的規管：業務操守與客戶關係
第5章：中介人的規管：業務運作及實務
第6章：市場失當行為及遵守法規 |
Topic 1: Overview of Legal and Regulatory Framework
Topic 2: Regulation of Investment Products
Topic 3: Regulation of Intermediaries: Licensing and Subsidiary Legislation
Topic 4: Regulation of Intermediaries: Business Conduct and Client Relations
Topic 5: Regulation of Intermediaries: Business Operations and Practices
Topic 6: Market Misconduct and Compliance Issues |
卷七 - 金融市場 |
Paper 7 - Financial Markets |
第1章：全球金融體系
第2章：香港的金融體系
第3章：股本市場
第4章：債務市場
第5章：外匯及衍生產品市場
第6章：金融風險管理
第7章：在金融界的應用 |
Topic 1: The Global Financial System
Topic 2: Financial System in Hong Kong
Topic 3: The Equity Market
Topic 4: The Debt Market
Topic 5: The Foreign Exchange and Derivatives Markets
Topic 6: Financial Risk Management
Topic 7: Applications in the Financial Sector |
卷八 - 證券 |
Paper 8 – Securities |
第1章：證券投資概覽
第2章：香港聯合交易所 - 集資市場及交易市場
第3章：市場參與者
第4章：證券類別
第5章：證券市場管理
第6章：證券分析 |
Topic 1: Overview of Securities Investments
Topic 2: The Stock Exchange of Hong Kong - Primary and Secondary Markets
Topic 3: Participants in the Markets
Topic 4: Types of Securities
Topic 5: Stock Market Administration
Topic 6: Securities Analysis |
卷九 - 衍生工具 |
Paper 9 – Derivatives |
第1章：衍生產品市場概覽
第2章：普通衍生產品
第3章：股票衍生工具
第4章：利率衍生工具
第5章：貨幣及商品衍生工具
第6章：衍生工具 - 買賣、結算及交收 |
Topic 1: Overview of Derivatives Markets
Topic 2: Generic Derivative Products
Topic 3: Equity Derivatives
Topic 4: Interest-rate Derivatives
Topic 5: Currency and Commodity Derivatives
Topic 6: Derivatives - Trading, Clearing and Settlement |
卷十一 - 機構融資 |
Paper 11 - Corporate Finance |
第1章：機構融資業概覽
第2章：會計及財務報表分析
第3章：機構融資的原則
第4章：股本融資
第5章：債務融資
第6章：業務估值
第7章：合併與收購 |
Topic 1: Overview of the Corporate Finance Industry
Topic 2: Accounting and Financial Statement Analysis
Topic 3: Principles of Corporate Finance
Topic 4: Equity Financing
Topic 5: Debt Financing
Topic 6: Business Valuation
Topic 7: Mergers and Acquisitions |
卷十二 - 資產管理 |
Paper 12 - Asset Management |
第1章：基金管理業概覽
第2章：客戶目標及客戶可投資的產品
第3章：投資組合管理的基本理論
第4章：投資管理過程
第5章：基金表現評估 |
Topic 1: Overview of the Fund Management Industry
Topic 2: Client Objectives and the Products Available to Them
Topic 3: Basic Theoretical Aspects of Portfolio Management
Topic 4: The Investment Management Process
Topic 5: Evaluating Fund Performance |
