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HKSI Licensing Examination Paper 1 (Regulation) Study Guide (2026)

This is the free study guide for the HKSI Licensing Examination Paper 1 (Regulation) exam — the same content areas the exam tests, written to the official outline. Read any chapter online free below, then drill the material with 404+ free practice questions and a full timed mock exam.

Last updated: August 2026.

Open the full study guideEvery chapter, in one place — free to read online.

The 8 chapters

  1. 1Business Conduct and Client Relations18% of the exam
  2. 2The Securities and Futures Ordinance (SFO)15% of the exam
  3. 3Licensing, Registration and Subsidiary Legislation15% of the exam
  4. 4Regulatory Overview of the Hong Kong Financial Industry12% of the exam
  5. 5Business Operations, Internal Controls and AML12% of the exam
  6. 6Participating in the Exchanges and Accessing Public Capital10% of the exam
  7. 7Market Misconduct and Improper Trading Practices10% of the exam
  8. 8Principles of Hong Kong Law and the Companies Ordinance8% of the exam

Practice what you read

Reading is step one; recalling it under exam pressure is what passes. Drill free HKSI Licensing Examination Paper 1 (Regulation) practice questions, then sit a full timed mock exam.

Free practice questions →Timed mock exam →Cram sheet →

Educational summary, not a substitute for the official material — always confirm current details with HKSI Institute — Licensing Examination. Last updated: August 2026.

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