Set 7 Flashcards
(12 cards)
1载于《非上市结构性投资产品守则》附录A的第一类规定，要求发行人必须具备不少于20亿港元，并为三种类机构之一，以下哪一类机构不包括在该三类机构之内?
A.
An insurance company regulated by the Insurance Authority
受保险业监管局规管的保险公司
B.
A bank regulated by the Hong Kong Monetary Authority
受金管局规管的银行
C.
A corporation licensed by the Securities and Futures Commission
获证监会发牌的法团
D.
An overseas banking entity subject to regulatory oversight acceptable to the SFC
所受监管监察获证监会接纳的海外银行实体
A
9
以下哪一项不是根据《内部监控指引》要求高级管理层在“管理及监督”范围内的角色特征?
A.
Senior management should establish clear reporting lines and assign supervisory and reporting responsibilities.
高级管理层应建立界定清楚的汇报途径，并指派监督和汇报职责。
B.
Management and supervisory functions should be assigned to suitably qualified and experienced persons.
管理及监督职能应指派予具备合适资格及经验丰富的人士负责。
C.
Senior management should establish a reasonable and market competitive remuneration mechanism to attract qualified and competent employees.
高级管理层应建立合理而具市场竞争力的薪酬机制，以吸引合资格及称职的员工。
D.
Senior management should formulate and implement internal control systems to ensure its ongoing effectiveness and the relevant systems are complied with.
高级管理层应制定和执行内部监控制度，确保其持续有效及有关制度得以遵从。
C
10
以下哪些“未获邀约的造访”的行为是不会被禁止的?
I. 在没事先安排的情况下亲身往大学教授的办公室探访，推介最新的投资基金产品。
II. 证券经纪向已持有XC基金单位的人士，销售更多XC基金单位。
III. 向个人专业投资者推销未获证监会认可的新投资产品。
IV. 银行职员向其股票客户推广基金产品。
A.
I, II and III only
只有I、II及III
B.
II, III and IV only
只有II、III及IV
C.
I, II and IV only
只有I、II及IV
D.
I, II, III and IV
I、II、III 及 IV
B
13凡进行虚售交易或配对交易的人士，会被假定为哪一类市场失当行为?
A.
Stock market manipulation
操纵证券市场
B.
False trading
虚假交易
C.
Price rigging
操控价格
D.
Insider trading
内幕交易
B
29
穆普信贷评级公司刚更新了一家上市公司的信贷评级，将其信用前景展望由「稳定」调整为「负向」。在修订评级发出前，穆普事先将评级内容知会了有关的上市公司。这做法是否恰当?
A.
This is appropriate. Before announcing the revised rating, it must be disclosed to the rated entity and only be announced after obtaining its confirmation and consent to the rating content.
恰当，在修订评级公布前，须向获评级实体披露，并取得其确认同意评级内容后，才可公布。
B.
This is appropriate. Before announcing the revised rating, the rated entity shall be allowed to clarify possible misunderstandings of facts or other factors relevant to the accuracy of the rating.
恰当，在修订评级公布前，须让获评级的实体有机会澄清可能出现对事实的误解或其他与评级准确性相关的因素。
C.
This is inappropriate. Disclosure to the rated entity should only be made after obtaining consent from the Securities and Futures Commission.
不恰当，只有获得证监会同恴后，才可向获评级实体作披露。
D.
This is inappropriate. Based on the confidentiality principle, the rating content shall not be disclosed to any person, including the rated entity, before the revised rating is announced.
不恰当，基于保密原则，在修订评级公布前，不可对任何人士包括获评级的实体披露评级内容。
B
36持牌基金经理（第9类受规管活动）是否需要关注利益冲突？
A.
Yes, the fund manager should take all reasonable steps to avoid conflicts of interest.
是，该基金经理应采取一切合理的程序以避免出现利益冲突。
B.
Yes, where conflicts of interest exist, the fund manager must not disclose them.
是，当存在利益冲突时，该基金经理一定不能披露它。
C.
No, as client assets are not in the custody of the fund manager.
否，因为客户的资产不是由基金经理托管。
D.
No, provided that the fund manager has an executed client mandate which waives the fund manager ‘s liability to any conflicts of interest.
否，只要该基金经理具备已签立的客户委任书豁免该基金经理因任何利益冲突而招致的法律责任。
A
38部份虚拟资产可能具有证券的特性，因而其交易会被视为下列哪些受规管活动而受监管?
I. 第1类受规管活动
II. 第3类受规管活动
III. 第5类受规管活动
IV. 第9类受规管活动
A.
I and III only
只有I及III
B.
I, III and IV only
只有I、III及IV
C.
II, III and IV only
只有II, III及IV
D.
I, II and III only
只有I、II及III
B
39下列哪一项与洗钱有关的陈述是不正确的？
A.
A person commits an offence if he uses any property, that is known or believed to be any person’s proceeds from organized and serious crimes, to borrow money.
倘若某财产已知或相信为任何人士从有组织罪行而来的得益，而某人使用该财产借取款项，该人士即犯有罪行。
B.
Where a person only suspects that any property relates to drug trafficking, he does not need to disclose that suspicion to an authorised officer.
如某人只是怀疑任何财产与贩毒有关，他不须向获授权人员举报。
C.
Money laundering is to change the nature of proceeds from illegal activities as if that assets were derived from a legitimate source.
洗钱是改变从非法活动所得财产，使人以为该财产是来自合法途径。
D.
It is an offence if a person who knows that a disclosure has been made to the Joint Financial Intelligence Unit, discloses such information to another person.
倘若某人知悉有人已向联合财富情报组作出披露，而将有关信息向他人披露，即属犯罪。
B
43
在《证券及期货事务监察委员会持牌人或注册人操守准则》（“《操守准则》”）下，「认识你的客户」是非常重要的，因为它：
A.
prevents front running activities.
防止扒头交易。
B.
ensures that the intermediary complies with all aspects of the Securities and Futures Ordinance.
确保中介人符合《证券及期货条例》各方面的规定。
C.
prevents clients engaging in possible market misconduct activities.
防止客户进行一些可构成市场失当行为的活动。
D.
facilitates the intermediary to provide the best service to the client and helps minimise risks to the client and to the intermediary.
促使中介人向客户提供最佳服务，并尽量减低客户及中介人所承受的风险。
D
46
证券及期货事务监察委员会的哪个部门负责监察股票市场的交易？
A.
The Investment Products Division
投资产品部
B.
The Corporate Finance Division
企业融资部
C.
The Enforcement Division
法规执行部
D.
The Supervision of Markets Division
市场监察部
D
47以下哪一个机构是香港证券及期货事务监察委员会认可的交易所控制人？
A.
The Chinese Gold and Silver Exchange Society
金银业贸易场
B.
The Hong Kong Exchanges and Clearing Limited
香港交易及结算所有限公司
C.
The Hong Kong Futures Exchange Limited
香港期货交易所有限公司
D.
The Stock Exchange of Hong Kong Limited
香港联合交易所有限公司
B
58透过遥距程序与海外个人客户建立业务关系，持牌人或注册人必须：
I. 取得由客户透过电子签署方式签订的客户协议。
II. 将数额不少于5,000 港元的首笔存款或等值外币，由在受合资格司法管辖区内的银行监管机构所监督的海外银行开立的客户银行账户成功转帐至其本身的银行账户内收取。
III. 确保负责在网上与客户建立业务关系的人员拥有充足的知识和技能来执行有关程序。
IV. 由合资格、具备足够的胜任能力及独立的评估员进行实施前评估和年度审查。
A.
I, II and III only
只有 I、II 及 III
B.
I, III and IV only
只有 I、III 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
B
