LE Paper 1 eStudy Manual (Version 3.1)

Overview

To assist candidates to prepare for the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 - Fundamentals of Securities and Futures Regulation, the HKSI Institute has launched the eStudy Manual. With effect from 2 June 2020 to 6 November 2020, examination questions of the LEs will be based on this manual.

Notes:
1. Users can download this eStudy Manual via the “Upcoming Activity” > "CPT/Non-CPT Activity" page of the Online Portal within 30 days after purchase. After 30 days, you are required to order again if you want to access the same eStudy Manual.
2. Purchased eStudy Manual(s) cannot be returned, refunded or exchanged once an order made and paid the fee successfully. If you experience difficulties downloading your purchased eStudy Manual(s), please call our Hotline on (852) 3120 6100 or email to support@hksi.org.
3. This eStudy Manual will be available for free download via the “Upcoming Activity” > "Examination" page of the Online Portal if you have enrolled the LE Paper 1 Examination.
4. Amendments and updates of the eStudy Manuals are made periodically or when deemed necessary to reflect changes in applicable laws, rules, regulations, codes and market practices in Hong Kong. Individual have to pay attention to the version or edition of the eStudy Manuals with their corresponding examinations.

Content Highlight

Topic 1: Regulatory overview of the Hong Kong financial industry
Topic 2: Principles of relevant Hong Kong law and the Companies Ordinance
Topic 3: Securities and Futures Ordinance
Topic 4: Licensing and registration, and subsidiary legislation
Topic 5: Business conduct and client relations
Topic 6: Business operations and practice
Topic 7: Participating in the Hong Kong exchanges
Topic 8: Accessing public capital
Topic 9: Market misconduct and improper trading practices

Who Should Attend

Any interested person or those who would like to study before enrolling for the examination.

Administrative Details

Code
TEPPC20000801
Venue
ePlatform
Language
Trad. Chi / Cantonese,English
Fees
All Member: HKD100
Non-Member: HKD300
Staff of Corporate Member: HKD100