Regulation and conduct
Connect licensing, regulators and internal controls with privacy, AML and management supervision.
HKSI LE Regulatory paper
HKSI Paper 6Regulation of Asset Management
Connect asset management regulation, back-office compliance and fund rules. Identify the manager, trustee or custodian before applying authorisation, investment or ongoing requirements.
- Multiple-choice questions
- 40 questions
- Exam time
- 60 minutes
- Passing mark
- 70%
WHAT TO STUDY
What Paper 6 tests
Checked 5 October 2026: the official guide is v2.7, with the public syllabus effective from 12 January 2026. Read applicable rules and subsequent updates in official materials.
Check the official syllabusBack-office compliance
Identify continuing obligations for capital, client assets, notifications, records and audit.
Fund authorisation
Distinguish manager conduct from product requirements and the duties of trustees and custodians.
Structures and risk
Compare OFCs, REITs, liquidity and climate-related risks through the applicable product rules.
Cross-border funds and misconduct
Review overseas recognition, MPF product requirements and misconduct in transaction scenarios.
FROM RULE TO ANSWER
Make each mistake useful
Answer a focused set, read why an option is right, and return to the rule behind your mistake.
884original practice questions in this paper
160 additional questions are kept in four fixed mock papers, separate from the practice pool.
Understand the reasoning
Use explanations to compare the rule, its exceptions and the incorrect options.
Review the questions you need
Return to wrong answers and bookmarks, then test yourself under the paper’s time limit.
These are independently written practice questions, not official past papers or recalled exam questions. Counts reflect the published bank checked on 5 October 2026 and may change with content updates.
A PRACTICAL ROUTE
Build a revision routine
- Draw a role map for regulators, service providers and products, then compare similar responsibilities.
- Use the 884 practice questions to identify gaps and explain why a rule applies to each entity.
- Complete four fixed mocks of 40 questions in 60 minutes each; return to rules behind the errors.
YOUR PAPER, YOUR APP
10minquiz HKSI 6+12
HKSI 6+12Papers 6, 12 in one app. Select Paper 6 from the top-left paper selector.
Start with free practice. The 90-day Pro option opens the full question bank and additional revision tools; check the store purchase screen for the current price and terms.
BEFORE YOU BEGIN
Paper 6 questions, answered
Are there 884 or 1,044 Paper 6 questions?
The single bank contains 1,044 questions: 884 for general practice and 160 arranged into four fixed 40-question mocks. These are separate parts of the total.
How does Paper 6 differ from Paper 12?
Paper 6 concentrates on regulation, fund authorisation and compliance. Paper 12 concentrates on objectives, allocation, portfolio theory and performance evaluation.
How can I separate fund authorisation from manager conduct?
Decide whether the question concerns product conditions or how a manager operates and treats clients. Separate the product from the service provider before selecting a rule.
Which app contains Paper 6?
Paper 6 is integrated into 10minquiz HKSI 6+12. Switch papers from the home screen; learning records stay separate and the app’s free allowance and Pro access are shared.
Official sources and support
Checked on 5 October 2026. Exam rules, syllabus versions, fees, dates and licensing requirements may change; confirm the documents that apply to your exam date.
- HKSI Institute: Paper 6 syllabus
- HKSI Institute: Licensing Examination overview
- SFC: licensing and registration requirements
HKSIPapers is an independent preparation resource. It is not affiliated with or endorsed by HKSI Institute or the SFC.
