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zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪一個國家的參與者不能與香港自動化交易系統作遙距交易連繫? | [
"澳洲。",
"日本。",
"英國。",
"美國。"
] | 1 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪一項有關期貨結算的陳述是正確的? | [
"香港期貨結算有限公司(期貨結算公司)由香港中央結算有限公司(香港結算) 部分擁有。",
"期貨結算公司負責結算所有期權及期貨。",
"期貨結算公司為所有期貨中介人結算期貨合約。",
"期貨結算公司只開放予香港期貨交易所(期交所)參與者。"
] | 2 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪一項有關香港期貨交易所(期交所)莊家進行賣空活動的陳述是不正確的? | [
"若期貨合約的相關資產是一個指數，則可賣空任何有關的證券。",
"若上市證券與其對沖的合約的相關證券相同，則可賣空任何有關的上市證券。",
"可就單一股票期貨合約上的任何上市證券進行賣空。",
"賣空可用於對沖前進行的活動。"
] | 3 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨條例》，在未得受訪者明確邀請下，中介人被禁止向以下哪一類人士作未獲邀約的造訪? | [
"以專業身份行事的律師。",
"未註冊機構。",
"專業投資者。",
"現有客戶。"
] | 4 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪些有關期貨交易系統(香港自動化交易系統)的陳述是正確的? I 香港的所有認可機構投資者皆可直接進入香港自動化交易系統。 II 香港聯合交易所(聯交所)期權交易參與者可直接進入香港自動化交易系統。 III 在海外註冊成立的公司如果為本身帳戶買賣期貨合約，並且受當地的監管機關監管，而該監管機關與證券及期貨事務監察委員會(證監會)簽訂了諒解備忘錄，則該公司可遙距進入香港自動化交易系統。 IV 東京國際金融期貨交易所的認可交易商可遙距進入香港自動化交易系統。 | [
"只有I及II",
"只有I及IV",
"只有II及III",
"只有 I、II 及 III"
] | 5 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪些陳述是正確的? I 香港交易及結算所有限公司(香港交易所)負責對交易所參與者進行審慎的前線監管工作。 II 證券及期貨事務監察委員會(證監會)負責對交易所參與者作一般操守的監管工作。 III 香港交易所對本身業務風險進行管理。 IV 香港交易所執行本身的交易、結算及交收規則。 | [
"只有I及II",
"只有 I、II 及 III",
"只有 I、III 及 IV",
"只有 II、III 及 IV"
] | 6 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨條例》，當以下哪一種情況發生變化時，持牌的個人需向證券及期貨事務監察委員會(證監會)作匯報? | [
"在海外證券學會的會藉狀況有變時。",
"在海外證券交易所或期貨交易所的會員狀況有變時。",
"在海外體育會的會藉狀況有變時。",
"在香港以外的社區組織的任何授權狀況有變時。"
] | 7 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨條例》附表 1，以下哪些是界定期貨合約含義的正確陳述? I 雙方根據有關規則或協定而訂定的遠期合約或遠期合約期權。 II 根據《證券及期貨條例》第 392 條下的通知所訂明，被視為按照該通知的 條款訂定的期貨合約的利益、權利或財產，或某類別或種類的利益、權利或財產。III 根據認可證券交易所規則訂立並在未來某一日期結算的期權合約，而結算將以股本證券交付。 IV 根據期貨市場有關規則或協定訂定的合約或合約期權。 | [
"只有I及II",
"只有II及IV",
"只有III及IV",
"只有I、II及IV"
] | 8 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨(財政資源)規則》，下列哪一項有關股本的陳述是不正確的? | [
"中介人進行第 2 類 (期貨合約交易) 受規管活動的繳足股本最低要求是 500 萬港元。",
"中介人進行第 5 類(就期貨合約提供意見) 受規管活動的繳足股本最低要求 是 500 萬港元。",
"中介人進行第 2 類 (期貨合約交易) 受規管活動及第 5 類 意見) 受規管活動的繳足股本最低要求是 500 萬港元。",
"中介人進行第 2 類 (期貨合約交易) 受規管活動及第 5 類 意見) 受規管活動的繳足股本最低要求是 1,000 萬港元。"
] | 9 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 從業員在下列哪些情況下毋須向證券及期貨事務監察委員會(證監會)申請第 2 類 牌照(期貨合約交易)? I 獲發第 9 類受規管活動(提供資產管理)的牌照，並純粹為其資產管理活動而 進行期貨合約交易。 II 為處置期貨合約而與另一人要約訂立協議。 III 企圖誘使另一人要約訂立期貨合約。 IV 以主事人身分在場外與另一位專業投資者進行交易。 | [
"只有I及III",
"只有I及IV",
"只有II及III",
"只有 II、III 及 IV"
] | 10 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨條例》，如果持續在沒有適當牌照的情況下顯示自己執行與受 規管活動有關的工作，一經循簡易程序定罪，重犯者將面對甚麼進一步刑罰? | [
"就罪行持續期間的每日罰款 2,000 港元。",
"就罪行持續期間的每日罰款 20,000 港元。",
"就罪行持續期間的每日罰款 10,000 港元。",
"就罪行持續期間的每日罰款 100,000 港元。"
] | 11 | 1 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 法團甲有意購入中介人乙的股份，那些股份相當於乙投票權的 15%。下列哪些陳 述是正確的? I 乙必須通知證券及期貨事務監察委員會(證監會)。 II 乙在其核准過程中保薦甲。 III 甲必須獲證監會核准為適當人選。 IV 如果甲在成為大股東前未能取得證監會的核准，甲可能觸犯《證券及期貨條例》。 | [
"只有I及IV",
"只有II及III",
"只有 I、III 及 IV",
"只有 II、III 及 IV"
] | 12 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪一項有關第 2 類(期貨合約交易)受規管活動的負責人員的陳述是正確的? | [
"香港期貨交易所(期交所)有權暫時吊銷其任何一位交易參與者的負責人員 的資格。",
"負責人員必須是持牌法團的執行董事。",
"必須任何時候有一位負責人員監督受規管活動的業務。",
"如果持牌法團因負責人員的疏忽而違反《證券及期貨條例》，該負責人員毋 須承擔法律責任。"
] | 13 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪些有關客戶款項的陳述是正確的? I 根據《證券及期貨(客戶款項)規則》，客戶款項不包括就非受監管活動持有的現金。 II 根據《證券及期貨事務監察委員會持牌人或註冊人操守準則》，在海外持有客戶款項的潛在風險必須向客戶解釋。 III 根據《證券及期貨(客戶款項)規則》，該規則適用於在客戶本身銀行帳戶中 持有的款項(而中介人在交收上有權管理該帳戶)。 IV 《證券及期貨(客戶款項)規則》適用於由持牌法團的有聯繫實體收取的現金。 | [
"只有 I及IV",
"只有 II及III",
"只有 II及IV",
"只有 I、II 及 IV"
] | 14 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨(客戶證券)規則》，下列哪些人士或機構可代表中介人在香港收取客戶資產? I 中介人的有聯繫實體。 II 認可財務機構。III 獲證券及期貨事務監察委員會(證監會)核准的保管人。 IV 根據財務融通安排存放客戶抵押品的另一位中介人。 | [
"只有I及IV",
"只有II及III",
"只有II及IV",
"I、II、III 及 IV"
] | 15 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨(客戶款項)規則》，下列哪些陳述是正確的? I 依據客戶常設授權而處理的款項毋須存入獨立帳戶。 II 就客戶的期貨合約買賣而在香港或海外收取的所有款項都受制於該規則。 III 源自客戶款項的利息受制於該規則。 IV 在未來三天內作保證金用途的款項毋須獨立處理。 | [
"只有I及II",
"只有I及III",
"只有II及III",
"只有III及IV"
] | 16 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨(客戶證券)規則》或《證券及期貨(客戶款項)規則》，中介人有 責任向證券及期貨事務監察委員會(證監會)報告任何不遵從規定事件。舉報該類 事件的時限為: | [
"發現有關事件後即時報告。",
"一個營業日內。",
"48 小時內。",
"一星期內。"
] | 17 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨(客戶證券)規則》，如果中介人沒接獲私人客戶就更新其客戶 證券常設授權而提出的反對，中介人必須在屆滿日期後多久發出確認書? | [
"2 個工作天內。",
"1 週內。",
"10 個工作天內。",
"1 個月內。"
] | 18 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 如屬意圖詐騙而違反《證券及期貨(客戶款項)規則》，循簡易程序一經定罪，最 高刑罰是甚麼? | [
"罰款5萬港元及監禁3年。",
"罰款 50 萬港元及監禁 1 年。",
"罰款 100 萬港元及監禁 7 年。",
"罰款 500 萬港元及監禁 2 年。"
] | 19 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨條例》，下列哪一種交易不能構成「虛假交易」的指控? | [
"在認可的倫敦交易所買賣的期貨合約。",
"在證券及期貨事務監察委員會(證監會)認可的自動化交易系統買賣的期貨合約期權。",
"兩位持牌交易對手在場外交易中買賣的遠期合約。",
"根據香港聯合交易所(聯交所)的規則買賣的上市認股權證。"
] | 20 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪一項有關使用電話的陳述是不正確的? | [
"經固網電話接收的指示，應記錄及保存至少 3 個月。",
"經流動電話接收的指示，必須立刻用人手或透過中央電話記錄系統記錄。",
"根據證券及期貨事務監察委員會(證監會)的規則，不得接受經流動電話發出的指示。",
"中介人在其辦公室可因任何理由而禁止使用流動電話。"
] | 21 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨事務監察委員會持牌人或註冊人操守準則》，當中介人為其客 戶管理全權委託帳戶以買賣期貨及期權時，如果權益淨額在某指定期間或少於該 期間內下跌超過 50%，中介人必須通知客戶。該指定期間為: | [
"3天。",
"4天。",
"5天。",
"6天。"
] | 22 | 1 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨條例》第 XIII 部，以下哪一項活動不被視為「市場失當行為」 罪行? | [
"虛假交易。",
"內幕交易。",
"有擔保賣空。",
"操縱證券市場。"
] | 23 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨條例》中的有關披露權益的條文，現時的具報百分比水平為 5%。當具報權益(包括因持有衍生產品而可能出現的倉盤)改變的百分比相等或高 於「指明百分比水平」時，便有持續披露的責任。「指明百分比水平」為: | [
"0.1%。",
"0.5%。",
"1%。",
"5%。"
] | 24 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 當中介人向客戶提供有關衍生產品的服務時，下列哪一項程序並不需要? | [
"確保客戶了解衍生產品的性質及風險。",
"了解客戶的風險承受能力。",
"了解客戶的財政能力以承受損失。",
"確保客戶了解香港期貨交易所(期交所)交易系統的所有規則。"
] | 25 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨條例》第 XIV 部，因被控內幕交易罪行而經循公訴程序定罪 的最高刑罰是: | [
"罰款 100 萬港元及監禁 3 年。",
"罰款 100 萬港元及監禁 10 年。",
"罰款 1,000 萬港元及監禁 3 年。",
"罰款 1,000 萬港元及監禁 10 年。"
] | 26 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨(成交單據、戶口結單及收據)規則》，下列哪些有關非專業投 資者的成交單據的陳述是正確的? I 成交單據必須在同一個營業日內發出。 II 成交單據可合併載入戶口日結單內。 III 在同日訂立的期貨合約的資料，可合併載入一份成交單據內。 IV 客戶可選擇在月底收取所有成交單據。 | [
"只有I及IV",
"只有II及III",
"只有 II、III 及 IV",
"I、II、III 及 IV"
] | 27 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨(成交單據、戶口結單及收據)規則》，中介人不可將客戶的成 交單據轉交予下列哪一類人士? | [
"客戶本身。",
"客戶的律師。",
"中介人的高級人員。",
"客戶的會計師。"
] | 28 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨(成交單據、戶口結單及收據)規則》，期貨合約交易的確認通 知無須包含以下哪一項? | [
"單位價格或平均價(如客戶如此要求)。",
"交易的性質及參與交易或結算的任何代理人名稱。",
"期貨合約的假設合理公平價。",
"期貨合約的名稱及詳情，以資識別。"
] | 29 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨(成交單據、戶口結單及收據)規則》，客戶可要求在什麼期限 內已進行的交易提供戶口結單副本? | [
"6 個月。",
"1年。",
"2年。",
"5年。"
] | 30 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨(成交單據、戶口結單及收據)規則》，向買賣期貨合約的客戶 發出的戶口日結單必須載有下列哪些資料? I 在該日完結時保證金溢差或逆差的款額。 II 在該日入帳的所有收入及向該帳戶徵收的所有費用。 III 每張期貨合約在屆滿日的所有交收價值。 IV 在該日完結時的所有浮動盈虧。 | [
"只有 I、II 及 III",
"只有I、II及IV",
"只有 I、III 及 IV",
"只有 II、III 及 IV"
] | 31 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨事務監察委員會持牌人或註冊人操守準則》，獲發牌買賣期貨 合約的中介人必須保存下列哪些記錄? I 客戶自行交付或規定須向客戶收取的變價調整數額及利率現金調整數額。 II 中介人及其每名客戶的所有未平倉合約的詳情。 III 每名客戶所存放或規定須存放的保證金數額。 IV 每宗完成的期貨交易的持有成本。 | [
"只有 I、II 及 III",
"只有I、II及IV",
"只有 I、III 及 IV",
"只有 II、III 及 IV"
] | 32 | 1 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《證券及期貨事務監察委員會持牌人或註冊人操守準則》，期貨市場的中介 人必須為三類業務保存獨立的客戶分類帳。下列哪一項並非認可的規定? | [
"香港期貨交易所(期交所)的所有交易。",
"期交所的所有未配對交易。",
"所有非期交所的交易。",
"所有不屬於該客戶的期貨及期權業務的交易。"
] | 33 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《香港期貨結算有限公司(期貨結算公司)規則》，港元利率期貨的大手交易 的「最低交易量要求」是多少? | [
"20 張。",
"80 張。",
"100 張。",
"200 張。"
] | 34 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪些有關香港期貨結算有限公司(期貨結算公司)銀行擔保的陳述是正確的? I 期貨結算公司接受任何認可機構提供的擔保。 II 期貨結算公司酌情接受身為期貨結算公司參與者控股公司的銀行的擔保。 III 期貨結算公司參與者必須在至少一個銀行營業日前發出有意使用銀行擔保的通知。 IV 期貨結算公司有權釐定擔保可涵蓋的期貨結算公司參與者的按金責任數額。 | [
"只有 I 及 II",
"只有 II 及 III",
"只有 II 及 IV",
"只有 III 及 IV"
] | 35 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《香港期貨交易所規則》，「只為本身帳戶進行交易」這項交易權利最適用於 下列哪一類交易所參與者? | [
"經紀。",
"期貨委託商。",
"期貨商代表。",
"交易商。"
] | 36 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《香港期貨結算有限公司規則》，下列哪一項並非申請成為結算所參與者的 先決條件? | [
"符合最低資本規定。",
"書面同意遵守期貨結算公司的規則。",
"以其作為交易所參與者的註冊名稱運作。",
"展示過去作為結算代理的經驗。"
] | 37 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 根據《香港期貨結算有限公司規則》，與保證金系統有關由首字母組成的 SPAN 代表甚麼? | [
"標準普爾分析網絡。",
"標準組合風險分析程式。",
"股票產品名義價值分析。",
"瑞典專用分析網絡。"
] | 38 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪一個交易所買賣的產品大部分為遠期合約而非期貨合約? | [
"法國國際期貨及期權交易所。",
"瑞典衍生工具交易所。",
"新加坡交易所。",
"悉尼期貨交易所。"
] | 39 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 3: Regulation of Derivatives.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪一個國家是由財務省擔任當地的期貨監管機構? | [
"澳洲。",
"德國。",
"日本。",
"英國。"
] | 40 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 在一九九五年發生的霸菱事件之中，哪一項是金融機構必須引以為鑑的? | [
"嚴格控制衍生工具的買賣，確保交易商有足夠的經驗和技術。",
"明確劃分僱員的職責，確保申報過程的透明度。",
"聘請高級主管進駐所有附屬公司。",
"確保有最低限度的流動資金，以面對高風險的衍生產品買賣。"
] | 1 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪項不是基金經理的工作? | [
"制定投資策略。",
"向個別投資者提供財務建議的服務。",
"分析經濟及公司的資料。",
"提供投資組合表現的記錄及資料。"
] | 2 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 本先生今年 23 歲。他現職市場推廣人員及擁有相對較少的投資資金。本先生仍然未婚亦不打算在未來十年結婚。以下哪項最可能是本先生的投資目標? | [
"資本增值。",
"資本保存。",
"資本保障。",
"資本穩定。"
] | 3 | 1 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪項是套戥活動的最佳描述? | [
"以低價購入甲股份，並於稍後以較高的價格售出該股份以獲取利潤。",
"沿著收益率曲線買入及賣出不同到期日的定息證券，以取得零的淨交易成本。",
"在香港購入某證券，並同時在倫敦出售該證券以取得兩個市場的價格差額。",
"購入甲股份，並同時購入甲股份的認沽期權以減少價格變動帶來的影響。"
] | 4 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 假設商業開支及工業生產均在下跌，而一般經濟增長也正在收縮。這現象最可能代表經濟週期中的哪個階段? | [
"高峰到萎縮。",
"萎縮到低谷。",
"低谷到擴張。",
"擴張到高峰。"
] | 5 | 1 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪一項有關香港管理基金的陳述是不正確的? | [
"它們是間接投資。",
"它們持有單一發行人發行的普通股不得超過股份總數的 15%。",
"它們是在酌情管理的基礎上運作。",
"它們有預設的投資目標及策略。"
] | 6 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪項並不是商品衍生產品? | [
"咖啡期權。",
"信貸期權。",
"白銀期貨。",
"豬腩期貨。"
] | 7 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪一種風險並非金融風險? | [
"純風險。",
"信貸風險。",
"市場風險。",
"系統風險。"
] | 8 | 1 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪項關係能以「購買力平價」的理論作解釋? | [
"短期利率與長期利率的關係。",
"利率與匯率的關係。",
"利率與股本價格的關係。",
"利率與樓宇價格的關係。"
] | 9 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪一項有關在香港從事證券及期貨交易的經紀行的陳述是不正確的? | [
"進行證券/期貨買賣活動的公司必須獲得證券及期貨事務監察委員會(證監會)發牌或向證監會註冊。",
"「經紀行」這個詞語包括證券/期貨經紀及交易商、證券保證金融資人及投資顧問。",
"所有在經紀行內參與證券/期貨買賣活動的人士必須獲得證監會發牌或向證監會註冊。",
"受到香港金融管理局(金管局)監督的認可機構在進行證券/期貨交易/買賣活動時可獲豁免向證監會註冊。"
] | 10 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 股息再投資計劃為證券發行人帶來甚麼主要好處? | [
"讓企業重整其資產負債架構。",
"是持續股本融資的來源。",
"減少股東數目。",
"增加股東數目。"
] | 12 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 關於投資在股本證券相對於債務證券，下列哪項陳述是正確的? | [
"在公司清盤時，股本投資者在索取公司資產時獲有優先權。",
"以年均計算，投資於股本證券的回報率總較投資於債務證券的回報率為高。",
"股本投資者有分享公司盈利的機會。",
"股本投資者的股息在支付利息予債務證券投資者前派發。"
] | 13 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪項並不是債務證券的例子? | [
"外匯基金債券。",
"公司債券。",
"浮息票據。",
"期權。"
] | 14 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 一家香港上市公司計劃在澳門修建主題樂園，並向一小撮高資產值投資者發行大份額股份。下列哪種股本融資方法可能是該公司所使用的? | [
"發行紅股。",
"首次公開招股。",
"供股。",
"私人配售。"
] | 15 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 把流動性低的資產綜合及再組合，使它們轉為流動性較高的證券的活動一般稱之為: | [
"債務重組。",
"證券化。",
"交易。",
"清盤。"
] | 16 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 外匯管制的實施可能導致經濟萎縮。下列哪項是可能的原因? | [
"它阻礙本地消費。",
"它使外資公司的盈利能力增加。",
"它減少對外貿易及外國投資。",
"它導致本地僱主的工資負擔上升。"
] | 17 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪項是股本證券的特點? I 它是擁有權的證據。 II 它的價值取決於業務的盈利能力。 III 持有人可收取派付的股息。 IV 固定的票息將定期支付予持有人。 | [
"只有 IV",
"只有II及III",
"只有 I、II 及 III",
"I、II、III 及 IV"
] | 18 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪項有關固定匯率制度的陳述是正確的? | [
"貨幣的價值是根據市場的供求而改變的。",
"貨幣的價值是由中央銀行決定的。",
"貨幣的波幅是根據市場的供求而改變的。",
"貨幣的波幅是由中央銀行決定的。"
] | 19 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪一項是亞洲金融風暴在 1997-98 年爆發的主要原因? | [
"對該區的貿易減少。",
"短線投機令資金從區內流走。",
"美國帶動的經濟衰退。",
"區內政局不穩。"
] | 20 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 關於國際資金的流動情況，下列哪項陳述是不正確的? I 衍生產品的創新促進了國際資金的流動。 II 全球金融市場日益開放，促進了國際資金的流動。 III 國際資金的流動可以對國際市場構成重大影響，但不會影響本土市場。 IV 金融市場的開放，不會對國際資金的流動的增長構成影響。 | [
"只有 II",
"只有III及IV",
"只有I、II及IV",
"I、II、III 及 IV"
] | 21 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 政府可以用下列哪些方法來影響利率的水平? I 干預外匯市場。 II 改變政府的開支和稅務政策。 III 在銀行同業市場中買賣政府證券。 IV 對金融機構的貸款業務實施嚴格的控制。 | [
"只有I及III",
"只有I、II及IV",
"只有 II、III 及 IV",
"I、II、III 及 IV"
] | 22 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 為何財務顧問服務經常被指為一種「動態」的概念? | [
"財務顧問的工作充滿刺激及趣味。",
"客戶的目標將不斷轉變。",
"財務顧問的風格種類很多，視乎個別的財務顧問。",
"業內不斷轉營，不斷有新的參與者及新技術。"
] | 23 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 在香港，下列哪項是持牌銀行的可能職能? I 作為金融中介人。 II 透過銀團來向企業提供資本。 III 監管金融市場的活動。 IV 接受普羅大眾的儲蓄存款。 | [
"只有I",
"只有I及II",
"只有III及IV",
"只有I、II及IV"
] | 24 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪項有關市場風險的說明是不正確的? | [
"持有的資產容易受到市場風險的影響。",
"市場風險可以透過分散投資在不同類型資產來減低。",
"市場風險由資產價格的變動所引致。",
"市場風險可以透過增加市場的流通量而消除。"
] | 25 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 於 1983 年 10 月，為了減低匯率的不穩，香港政府採用了下列哪種匯率制度? | [
"聯繫匯率制度。",
"固定匯率制度。",
"浮動匯率制度。",
"黃金標準制度。"
] | 26 | 1 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 信貸評級公司在風險管理過程之中非常重要，下列哪一項並非其原因? | [
"它們提高公司透明度。",
"它們加強公司問責制。",
"它們為公司進行信貸風險的分析。",
"它們為公司進行內部審計。"
] | 27 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 在香港，當認可機構透過貼現窗與香港金融管理局(金管局)訂立回購協議時，最常用以作抵押品的金融工具是甚麼? | [
"普通股。",
"外匯基金票據及債券。",
"股本衍生工具。",
"公司債務證券。"
] | 28 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 香港銀行同業拆息受到以下哪項因素的直接影響? | [
"恒生指數的波動。",
"港元供應的轉變。",
"香港房地產價格的轉變。",
"倫敦銀行同業拆息的轉變。"
] | 29 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 在香港，下列哪個監管機構負責向證券及期貨交易代表發牌? | [
"財經事務及庫務局。",
"證券及期貨事務監察委員會(證監會)。",
"香港金融管理局(金管局)。",
"香港聯合交易所(聯交所)。"
] | 30 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪項是為促進香港債務市場的流動性和活躍度而設的措施? | [
"把房地產投資信貸基金在香港聯合交易所(聯交所)上市。",
"容許指定的股票在聯交所作賣空活動。",
"把外匯基金債券在聯交所上市。",
"成立創業板。"
] | 31 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 在香港，以下哪項有關證券保證金貸款的描述是不正確的? | [
"它提高投資者的風險。",
"只有藍籌股票才可用作證券保證金貸款的抵押。",
"投資者須負擔額外的利息成本。",
"它增加市場的活躍度及流通量。"
] | 32 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 吳先生在芝芝公司宣佈以「四送一」派送紅股時持有該公司 100 股股份。吳先生的芝芝公司股份在緊隨紅股派送後的理論價為 0.83 港元。那麼，剛在紅股派送前，每股的價格是多少? | [
"0.30 港元",
"0.83 港元",
"1.00 港元",
"1.04 港元"
] | 33 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪項是證券保證金融資所帶來的好處? | [
"證券保證金融資提高股票市場的市場流動性。",
"當與大型機構投資者比較，證券保證金融資為小投資者提供一個「公平的競爭環境」。",
"因為是由香港聯合交易所(聯交所)監管，證券保證金融資降低了投資於股市的風險。",
"證券保證金融資減少了股票市場的系統性風險。"
] | 34 | 1 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪種交易工具在香港聯合交易所(聯交所)上市? I 黃金期貨。 II 創業板指數期貨。 III 外匯基金債券。 IV 房地產投資信託基金。 | [
"只有I及IV",
"只有II及III",
"只有III及IV",
"只有 II、III 及 IV"
] | 35 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪項並不是把公司在證券交易所上市的好處? | [
"擴大資本基礎。",
"增加公司股票對投資者的吸引力。",
"提升公司的形象。",
"增加公司原有擁有人的控制。"
] | 36 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 在香港，證券及期貨事務監察委員會(證監會)要求下列哪些為公眾提供意見的金融市場參與者需領取牌照或註冊? I 證券交易商。 II 證券交易員。 III 證券銷售員。 IV 財經消息評論員。 | [
"只有I及III",
"只有II及IV",
"只有 I、II 及 III",
"I、II、III 及 IV"
] | 37 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪項是債務協議中的典型項目? I 債務到期日。 II 借貸人的學歷。 III 計算利息的方法。 IV 借款人違約的風險。 | [
"只有I及III",
"只有I、II及IV",
"只有 I、III 及 IV",
"I、II、III 及 IV"
] | 38 | 1 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 在香港，下列哪項融資選擇不被歸類為股本融資? | [
"供股。",
"發行定息證劵。",
"股息再投資計劃。",
"首次公開招股。"
] | 39 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪項是為促進香港的債務證券市場所採取的措施? I 由香港金融管理局(金管局)引入受監管的債務證券賣空活動。 II 由證券及期貨事務監察委員會(證監會)設立市場莊家制。 III 於 1997 年在香港成立香港按揭證券有限公司(按揭公司)。 IV 就買賣某些債務證券所得的利潤提供稅項豁免。 | [
"只有I及II",
"只有III及IV",
"只有 II、III 及 IV",
"I、II、III 及 IV"
] | 40 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 所賺取的利息在沒有再投資的情況下，10,000 元的儲蓄在 5 年後一共獲得 1,000 元的總利息。年利率是多少? | [
"每年1.9厘",
"每年2.0厘",
"每年5.0厘",
"每年 10.0 厘"
] | 41 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪項不屬於衍生工具? | [
"按揭證券。",
"認股權證。",
"股票掛鉤票據。",
"連結式票據。"
] | 42 | 1 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 澳元的一年期存款利率是每年 6 厘，而歐元的一年期存款利率是每年 3.5 厘。如果澳元和歐元的一年期遠期匯率是每歐元兌 1.6468 澳元，每歐元兌澳元的即期匯率是多少? | [
"1.5701",
"1.5950",
"1.6080",
"1.6866"
] | 43 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 在香港，香港期貨結算有限公司在結算過程中，將充當以下哪項金融產品的交易對手的角色? I 股本權證。 II 期貨。 III 期權。 IV 交易所買賣基金。 | [
"只有I及IV",
"只有II及III",
"只有 I、II 及 III",
"只有 II、III 及 IV"
] | 44 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 甲國容許其貨幣在外匯市場無限制地自由買賣。但當其貨幣過度地波動時，該國的中央銀行將會介入以減低其波幅。下列哪項有關甲國的匯率制度的描述是正確的? | [
"它是一個固定匯率制度。",
"它是一個受限制的浮動匯率制度。",
"它是一個聯繫匯率制度。",
"它是香港金融管理局(金管局)所採用的匯率制度。"
] | 45 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪項些是場外交易衍生工具的特點? I 沒有標準的合約規格。 II 合約在結算時被更替。 III 迎合投資者要求的彈性較低。 IV 結算風險較交易所買賣的衍生工具低。 | [
"只有I",
"只有I及II",
"只有II及III",
"只有 II、III 及 IV"
] | 46 | 1 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 一般普通的散戶投資者可透過下列哪種機制把其投資的市場風險降低? | [
"對沖。",
"投機。",
"證券化。",
"掉期。"
] | 47 | 1 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 仲尼購入了一籃子反映恒生指數(恒指)比重的股份。同時，仲尼沽售了一些與他剛購入的一籃子股份有相同價值的恒指期貨合約。當這些交易完成後，仲尼預期他可在那些恒指期貨合約到期時獲取一些無風險盈利。根據以上資料，仲尼最有可能進行了哪一類的交易活動? | [
"投機。",
"掉期。",
"對沖。",
"套戥。"
] | 48 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪項有關風險的描述是正確的? I 系統風險涉及整體系統的基礎因素的風險。 II 信譽風險指對公司形象的可能損害。 III 市場風險指因交易對手違約而引致的潛在損失。 IV 運作風險指在運作過程中出錯而引致的潛在損失。 | [
"只有I及III",
"只有II及IV",
"只有I、II及IV",
"I、II、III 及 IV"
] | 49 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪項屬於銀行的良好企業管治的程序? I 制訂關於董事局組成和權力的書面政策和程序。 II 設定信貸限額以控制信貸風險。 III 成立專家營銷團以服務高資產淨值的客戶。 IV 設定投資限制以控制公司的可投資類別。 | [
"只有I及II",
"只有I及III",
"只有II及IV",
"只有I、II及IV"
] | 50 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪項是香港金融管理局(金管局)用以監管香港金融市場所採納的「風險為本的監管制度」的最佳描述? | [
"當金融機構的風險水平超越金管局的可接受水平時，它將對其作出懲處。",
"它監管金融機構每日的風險水平。",
"它要求市場參與者匯報影響其運作的風險因素。",
"它建立一個監管架構以確保其監管的金融機構備有適當的風險管理系統及程序。"
] | 51 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪項有關風險的陳述是不正確的? | [
"風險可能提供理想的結果。",
"風險管理包括為減低下跌風險而進行的活動。",
"由於未來充滿不明朗因素，因此眾多商業營運都不能避免風險。",
"風險管理的概念是消除所有類別的風險。"
] | 52 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪項有關約務更替的陳述是正確的? I 透過約務更替過程，結算所成為每宗交易的交易對手。 II 透過約務更替過程，公司對投資者發行新的證券。 III 透過約務更替過程，市場及信貸風險的水平將會減低。 IV 透過約務更替過程，合約的可靠性將獲提升。 | [
"只有I",
"只有 I 及 IV",
"只有 II 及 III",
"只有 III 及 IV"
] | 54 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 詠本現年 31 歲並計劃在未來 18 個月生育嬰孩。當與其丈夫預備家庭財務計劃時，下列哪項是他們需考慮的因素? I 詠本的現時收入及其工作的穩定性。 II 在可見將來育有小孩的計劃。 III 詠本丈夫的收入前景及性質。 IV 詠本夫婦兩人的年齡。 | [
"只有I及IV",
"只有 I、II 及 III",
"只有 II、III 及 IV",
"I、II、III 及 IV"
] | 55 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 光華技術是一間向不同行業的機構客戶提供網路軟體程式的公司。在過去十年，公司從只有一小隊軟體工程師增長成為億元的業務。以下哪項可能是機構融資對該公司的成功所作出的貢獻? | [
"發展出受客戶歡迎的軟體。",
"籌集充足的財務資本以供業務增長。",
"聘用有才能的員工以支持新業務擴展。",
"能維持良好的客戶關係。"
] | 56 | 2 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 在一般情況下，下列哪項對資產管理行業的陳述最可能是不正確的? | [
"投資基金由專業投資小組以預先決定的投資目標來管理。",
"龐大的互惠基金投資於某指定的公司可顯示它對該公司的信心。",
"大型的投資基金一般會接受較高風險的投資策略。",
"投資基金一般把其投資分佈不同的證券上，以減低其投資組合的風險。"
] | 57 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 在財務顧問為客戶定立理財計劃時，下列哪項應包括在該計劃內? | [
"客戶的財政目標及實現目標的策略。",
"該計劃在投資期內的保證回報。",
"該財務顧問的背景和經驗。",
"為執行該計劃而建議的經紀。"
] | 58 | 1 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 錢小姐今年 49 歲，累積了大筆財富。她決定徵詢專業顧問的意見，以便確保有穩定的現金流量。根據錢小姐的情況，下列哪一個最有可能是她的投資目標? | [
"長期股票增值。",
"短期股票增值。",
"創造財富。",
"保障財富。"
] | 59 | 4 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 7: Financial Markets.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 以下哪項是一個機構融資專才向上市公司提供的服務? I 就公司的財政結構提供意見。 II 向該公司提供銀團貸款。 III 就公司的合併活動提出意見。 IV 為公司進行估值。 | [
"只有I及III",
"只有I、II及IV",
"只有 I、III 及 IV",
"只有 II、III 及 IV"
] | 60 | 3 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 6: Regulation of Asset Management.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 證券及期貨事務監察委員會(證監會)負責以下哪些與強制性公積金(強積金)產品有關的事宜? I 核准該類產品的銷售文件。 II 授予牌照給強積金產品的投資經理。 III 強積金計劃的整體管理。 IV 註冊僱主供款的強積金計劃。 | [
"只有I及II",
"只有II及III",
"只有 I、II 及 III",
"只有 I、III 及 IV"
] | 1 | 1 |
zh | Hong Kong | Licensing Examination for Securities and Futures Intermediaries | Paper 6: Regulation of Asset Management.json | unknown | 證券及期貨從業員資格考試 | professional exam | https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/past-questions-and-answers/ | 下列哪一項陳述是不正確的? | [
"證券及期貨事務監察委員會(證監會)、強制性公積金計劃管理局(積金局)及保險業監督各自規管強積金產品。",
"證監會、積金局、保險業監督及香港金融管理局(金管局)各自規管從事資產管理的中介人。",
"金管局屬於強積金中介人協調規管委員會的成員。",
"證監會認可屬於集體投資計劃的強積金產品。"
] | 2 | 1 |
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