Paper 1 Part 7: Participating in the HKEX Markets
HKSI LE Paper 1 · Regulatory Framework of the Securities & Futures Market · Part 7 · with answers and explanations
These 2 questions are all drawn from HKSI LE Paper 1 Part 7 “Participating in the HKEX Markets” and are identical to the free preview a non-paying app user sees (the first 2 questions by id). Tap an option to answer and instantly see the explanation. The full app covers 39 questions in this part.
Which of the following statements regarding HKEx-EPS submission requirements for issuers is CORRECT?
Explanation: The rule permits submission via HKEx-EPS or such other means as the Exchange prescribes from time to time. The deadline is 30 minutes before the earlier of the morning trading session or pre-opening session on the next business day.
An overseas issuer without a WVR structure seeks a secondary listing on the Exchange. Under Rule 19C.05A, which qualification must the issuer satisfy?
Explanation: Rule 19C.05A requires the overseas issuer to satisfy Criteria A (including at least 5 full financial years of good regulatory compliance on a Qualifying Exchange or Recognised Stock Exchange) or Criteria B. This safeguards Hong Kong market quality by ensuring sufficient regulatory history.
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