LE Paper 3 eStudy Manual (Version 2.7)
To assist candidates to prepare for the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 3 - Regulation of Derivatives, the HKSI Institute has launched the eStudy Manual. With effect from 23 November 2020, examination questions of the LEs will be based on this manual.
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 [email protected]
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 3 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.
Topic 1: Regulatory framework
Topic 2: Licensing and registration
Topic 3: Client securities and money
Topic 4: Conduct of business
Topic 5: Record keeping and contracts limits and reporting
Topic 6: Futures trading and settlement
Topic 7: Over-the-counter derivatives trading, reporting and clearing
Topic 8: Overview of major overseas futures exchanges and clearing houses
Who should attend
Any interested person or those who would like to study before enrolling for the examination.