SIDC Module 16 study plan

Map the SIDC Module 16 law and regulation syllabus into a one-page outline covering securities law, licensing, conduct of business, and market abuse

Explain, in writing, the roles of the Securities and Futures Commission and the Hong Kong Monetary Authority in supervising intermediaries and banks

List the core licensing requirements for Type 1, Type 2, Type 4, and Type 9 regulated activities, including fit-and-proper criteria and responsible officer obligations

Draft ten flashcards on client money, client securities, and record-keeping rules under the relevant subsidiary legislation

Summarise the market misconduct regime, including insider dealing, false trading, and price rigging, with the statutory tests for each

Compare the disciplinary powers of the regulator against criminal sanctions and explain when each applies

Analyse two worked scenarios on conflicts of interest and suitability, identifying the rule breached and the likely sanction

Build a table of continuing professional training requirements and notification duties for licensed representatives

Explain the statutory and regulatory expectations for senior management accountability, including the manager-in-charge regime

Describe the difference between governance accountability and personal leadership behaviour in a regulated firm

Draft five interview-style answers linking regulatory duties to everyday supervisory decisions

Identify three ethical dilemmas a team leader faces and set out a defensible decision process for each

Explain the main leadership theories and contrast transactional, transformational, and situational approaches with examples from financial services

Describe how a leader builds and sustains a conduct-focused culture, including tone from the top and escalation channels

Analyse how team dynamics, motivation, and feedback affect performance in a licensed dealing team

Prepare a structured answer framework for behavioural questions on delegation, conflict handling, and decision-making under pressure

Explain the principles of corporate governance in an ICM context, including board composition, independence, and committee structures

Describe the role of the board, senior management, and control functions in setting risk appetite and overseeing conduct

Link leadership behaviour to governance outcomes such as whistleblowing effectiveness and challenge culture

Draft a board-paper summary recommending one governance improvement with rationale and implementation steps

Outline the governance requirements for listed issuers, including directors' duties, connected transactions, and disclosure obligations

Explain the three lines of defence model and how internal audit, risk, and compliance interact

Summarise the role of shareholder engagement, voting, and proxy processes in accountability

Compare governance codes and explain how comply-or-explain reporting works in practice

Catalogue the main product types covered by the syllabus, including equities, bonds, funds, derivatives, and structured products, with their key risks

Explain the suitability and product due diligence obligations that apply before recommending a product to a client

Describe the disclosure requirements for offering documents and the treatment of complex products

Analyse two product scenarios to identify suitability failures and the corrective action a firm should take

Consolidate all four domains into a single revision sheet linking regulation, leadership, governance, and products

Complete a timed mock examination under exam conditions and score it against the answer key

Review every incorrect answer and write a corrected explanation for each

Rehearse concise oral answers to the most frequently missed question types