Set 12 Flashcards
(4 cards)
4以下哪一项不是《适当人选指引》对持牌代表的适当人选要求？
A.
Financial status and solvency
有关人士的财政状况或偿付能力
B.
Ability to carry on the regulated activity competently, honestly and fairly
有关人士是否有能力称职地、诚实地且公正地进行有关受规管活动
C.
University education or similar qualification or experience
有关人士的大学学历或类似资历或经验
D.
Reputation, character, reliability and financial integrity
有关人士的信誉、品格、可靠程度及在财政方面的稳健性
C
7
以下哪些关于《企业融资顾问操守准则》的描述是正确的?
I. 《企业融资顾问操守准则》并无法律效力，不能将其诠释为凌驾于法律之上。
II. 企业融资顾问如违反本守则，将会对其适当人选资格产生负面影响。
III. 《企业融资顾问操守准则》旨在补充有关法律、守则、规则或指引，并应与该等法律、规则、守则及指引一并应用。
IV. 如《企业融资顾问操守准则》与相关法律、守则、规则或指引有任何分歧，则以有关法例条文为准。
A.
I, II and III only
只有I、II及III
B.
I, II and IV only
只有I、II及IV
C.
II, III and IV only
只有II、III及IV
D.
I, II, III and IV
I、II、III及IV
A
16以下哪一项关于两地市场互联互通机制下的北向交易的陈述是不正确的？
A.
There is an investor identification requirement.
设有投资者识别码规定。
B.
Margin trading is permitted on all eligible securities listed on Shanghai Stock Exchange and Shenzhen Stock Exchange.
所有在上海证券交易所和深圳证券交易所上市的合资格证券均获准进行保证金买卖。
C.
Day trading is not permitted.
不准许即日买卖。
D.
All Hong Kong persons and overseas investors who are able to trade on The Stock Exchange of Hong Kong Limited can participate.
凡能在香港联合交易所有限公司进行买卖的香港人士及海外投资者均可参与
B
51以下哪一项有关《公司条例》规定的特别决议的陈述是正确的？
A.
A special resolution has to be passed by at least 50% of shareholders at a general meeting of which not less than 21 days’ notice specifying the intention to pass the resolution has been given.
特别决议必须经最少50%的股东在股东大会上投票通过，并且已发出不少于21 天的通知期，指明拟将该项决议列为一项特别决议的意向。
B.
A special resolution has to be passed by at least 50% of shareholders at a general meeting of which not less than 14 days’ notice specifying the intention to pass the resolution has been given.
特别决议必须经最少50%的股东在股东大会上投票通过，并且已发出不少于14 天的通知期，指明拟将该项决议列为一项特别决议的意向。
C.
A special resolution has to be passed by at least 75% of shareholders at a general meeting of which not less than 21 days’ notice specifying the intention to pass the resolution has been given.
特别决议必须经最少75%的股东在股东大会上投票通过，并且已发出不少于21 天的通知期，指明拟将该项决议列为一项特别决议的意向。
D.
A special resolution has to be passed by at least 75% of shareholders at a general meeting of which not less than 14 days’ notice specifying the intention to pass the resolution has been given.
特别决议必须经最少75%的股东在股东大会上投票通过，并且已发出不少于14 天的通知期，指明拟将该项决议列为一项特别决议的意向。
D
