To help candidates 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 Guide. With effect from 2 October 2024, examination questions of the LEs will be based on this guide.

Terms and Conditions:
1. Users can download this eStudy Guide via the "CPT/Non-CPT Activity" page under “UPCOMING ACTIVITY” tab on the Online Portal within 90 days after purchase. After 90 days, you are required to order again if you want to access the same eStudy Guide.
2. Purchased eStudy Guide(s) cannot be returned, refunded or exchanged once an order made and paid the fee successfully. If you experience difficulties downloading your purchased eStudy Guide(s), please email to [email protected].
3. This eStudy Guide will be available for free download via the "Examination" page under the “UPCOMING ACTIVITY” tab on the Online Portal or "Downloads" tab in the "Menu" of the HKSI Institute Mobile if you have enrolled the LE Paper 1 Examination.
4. Amendments and updates of the eStudy Guides 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 Guides with their corresponding examinations.

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

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