HKSI LE Paper 2 Practice Questions - HKSI Licensing Examination Paper 2 - Regulation Of Securities Exam

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Which of the following is an example of a licensing exclusion, where a person dealing in securities does NOT require a Type 1 licence?

A brokerage executing client orders for commission An authorised financial institution registered with the SFC for the same activity An individual giving stock tips for a fee to the public A firm running a securities margin financing business

Correct Answer:

An authorised financial institution registered with the SFC for the same activity

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