考试大纲—港股直通车

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考试大纲

考试大纲

卷一 - 基本證券及期貨規例	Paper 1 - Fundamentals of Securities and Futures Regulation
第1章：香港金融業監管概覽第2章：有關的香港法例的原則及《公司條例》第3章：《證券及期貨條例》第4章：發牌及附屬條例第5章：業務操守及客戶關係第6章：業務運作及實務第7章：證券、期權及期貨第8章：其他證監會規管活動第9章：市場失當行為、不當交易行為及遵守法則	Topic 1: Regulatory Overview of the Hong Kong Financial Industry Topic 2: Principles of relevant Hong Kong Law and the Companies Ordinance Topic 3: The Securities and Futures Ordinance (SFO) Topic 4: Licensing and Subsidiary Legislation Topic 5: Business Conduct and Client Relations Topic 6: Business Operations and Practices Topic 7: Securities, Options and Futures Topic 8: Other SFC Regulated Activities Topic 9: Market Misconduct, Improper Trading Practices and Compliance
卷二 - 證券規例	Paper 2 - Regulation of Securities
第1章：監管架構第2章：有關的法定及相關要求第3章：證券業務管理及監管第4章：買賣在聯交所交易的證券第5章：其他證券活動第6章：期權及場外衍生工具第7章：市場失當行為及罪行	Topic 1: Regulatory Framework Topic 2: Relevant Statutory and Related Requirements Topic 3: Management and Supervision of Securities Businesses Topic 4: Dealing in Securities Traded on the Stock Exchange of Hong Kong (SEHK) Topic 5: Other Securities Activities Topic 6: Options and OTC Derivatives Topic 7: Market Misconduct and Offences
卷三 - 衍生工具規例	Paper 3 - Regulation of Derivatives
第1章：監管架構第2章：發牌第3章：客戶款項及證券第4章：業務操守第5章：備存記錄第6章：期貨交易及交收第7章：主要的海外期貨交易所及結算所概覽	Topic 1: Regulatory Framework Topic 2: Licensing Topic 3: Client Money and Securities Topic 4: Conduct of Business Topic 5: Record Keeping Topic 6: Futures Trading and Settlement Topic 7: Overview of Major Overseas Futures Exchanges and Clearing Houses
卷五 - 機構融資規例	Paper 5 - Regulation of Corporate Finance
第1章：法例與規管架構及操守準則概覽第2章：在港交所主板和創業板上市第3章：收購、合併及股份購回第4章：其他事項	Topic 1: Overview of the Legal and Regulatory Structure and Code of Conduct Topic 2: Listing on the HKEx Main Board and the GEM Topic 3: Take-overs and Mergers and Share Repurchases Topic 4: Miscellaneous
卷六 - 資產管理規例	Paper 6 - Regulation of Asset Management
第1章：法例及規管架構概覽第2章：投資產品的規管第3章：中介人的規管：發牌及附屬條例第4章：中介人的規管：業務操守與客戶關係第5章：中介人的規管：業務運作及實務第6章：市場失當行為及遵守法規	Topic 1: Overview of Legal and Regulatory Framework Topic 2: Regulation of Investment Products Topic 3: Regulation of Intermediaries: Licensing and Subsidiary Legislation Topic 4: Regulation of Intermediaries: Business Conduct and Client Relations Topic 5: Regulation of Intermediaries: Business Operations and Practices Topic 6: Market Misconduct and Compliance Issues
卷七 - 金融市場	Paper 7 - Financial Markets
第1章：全球金融體系第2章：香港的金融體系第3章：股本市場第4章：債務市場第5章：外匯及衍生產品市場第6章：金融風險管理第7章：在金融界的應用	Topic 1: The Global Financial System Topic 2: Financial System in Hong Kong Topic 3: The Equity Market Topic 4: The Debt Market Topic 5: The Foreign Exchange and Derivatives Markets Topic 6: Financial Risk Management Topic 7: Applications in the Financial Sector
卷八 - 證券	Paper 8 – Securities
第1章：證券投資概覽第2章：香港聯合交易所 - 集資市場及交易市場第3章：市場參與者第4章：證券類別第5章：證券市場管理第6章：證券分析	Topic 1: Overview of Securities Investments Topic 2: The Stock Exchange of Hong Kong - Primary and Secondary Markets Topic 3: Participants in the Markets Topic 4: Types of Securities Topic 5: Stock Market Administration Topic 6: Securities Analysis
卷九 - 衍生工具	Paper 9 – Derivatives
第1章：衍生產品市場概覽第2章：普通衍生產品第3章：股票衍生工具第4章：利率衍生工具第5章：貨幣及商品衍生工具第6章：衍生工具 - 買賣、結算及交收	Topic 1: Overview of Derivatives Markets Topic 2: Generic Derivative Products Topic 3: Equity Derivatives Topic 4: Interest-rate Derivatives Topic 5: Currency and Commodity Derivatives Topic 6: Derivatives - Trading, Clearing and Settlement
卷十一 - 機構融資	Paper 11 - Corporate Finance
第1章：機構融資業概覽第2章：會計及財務報表分析第3章：機構融資的原則第4章：股本融資第5章：債務融資第6章：業務估值第7章：合併與收購	Topic 1: Overview of the Corporate Finance Industry Topic 2: Accounting and Financial Statement Analysis Topic 3: Principles of Corporate Finance Topic 4: Equity Financing Topic 5: Debt Financing Topic 6: Business Valuation Topic 7: Mergers and Acquisitions
卷十二 - 資產管理	Paper 12 - Asset Management
第1章：基金管理業概覽第2章：客戶目標及客戶可投資的產品第3章：投資組合管理的基本理論第4章：投資管理過程第5章：基金表現評估	Topic 1: Overview of the Fund Management Industry Topic 2: Client Objectives and the Products Available to Them Topic 3: Basic Theoretical Aspects of Portfolio Management Topic 4: The Investment Management Process Topic 5: Evaluating Fund Performance

課程目標

當成功完成本課程之際，指望學員能夠：
1、在證券及期貨從業員資格考試中取得合格分數。
2、了解及認識各項金融產品及衍生工具。
3、認識到香港證券及期貨監管的規例。
4、意識到全球金融市場體系的運作。

Upon completion of this programme, students are expected to have:
1、A passing grade of the Licensing Examination for Securities and Futures Intermediaries.
2、Understood and knowing all sorts of Financial Products and Derivatives.
3、The knowledge of the regulation of Securities and Futures Management in Hong Kong.
4、Aware of the whole globe Financial Market System and its operation.

授課語言

廣東話或國語教學。
繁體中文教材，英文版本可額外購買。
Cantonese tuition.
Study materials in Traditional Chinese, English version can be purchased at an additional price.

入讀條件

適合任何現職或有志投身金融業之人士報讀。
Anyone who is interested in having their career or already participated in the Financial Field can apply.

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