증권 및 선물 규제 기초 / Fundamentals of Securities and Futures Regulation

1. 홍콩 금융업 감독 개요（Regulatory overview of the Hong Kong financial industry / 香港金融業監管概覽）
2. 관련 홍콩 법률 및 회사조례 원칙（Principles of relevant Hong Kong law and the Companies Ordinance / 相關香港法例及《公司條例》的原則）
3. 증권 및 선물 조례（Securities and Futures Ordinance (“SFO”) / 《證券及期貨條例》）
4. 면허 발급 및 등록과 부속 법례（Licensing and registration, and subsidiary legislation / 發牌及註冊與附屬法例）
5. Business conduct and client relations / 業務操守與客戶關係
6. Business operations and practices / 業務運作與常規
7. Participating in the Hong Kong exchanges / 在香港交易所的參與
8. Corporate finance and SFC authorized products / 企業融資及證監會的認可產品
9. Market misconduct and improper trading practices / 市場失當行為及不當交易行為