100+ Free HKIB ECF-Compliance Core Practice Questions
Pass your HKIB Enhanced Competency Framework on Compliance (Core Level) Examination exam on the first try — instant access, no signup required.
Loading practice questions...
Explore More HKIB Enhanced Competency Framework Modules
Continue into nearby exams from the same family. Each card keeps practice questions, study guides, flashcards, videos, and articles in one place.
Key Facts: HKIB ECF-Compliance Core Exam
70%
Core Level pass mark for each ECF-Compliance module examination
HKIB COM-P-002 Programme Handbook (4 March 2026)
50 MCQs
Modules 1 and 2 examination length per module
HKIB COM-P-002 Programme Handbook / hkib.org page 204
80 MCQs
Module 3 examination length
HKIB COM-P-002 Programme Handbook / hkib.org page 204
HKD600
Modules 1–2 examination fee per module
HKIB COM-P-002 Programme Handbook / hkib.org page 204
HKD1,600
Module 3 examination fee
HKIB COM-P-002 Programme Handbook / hkib.org page 204
QF Level 4
Hong Kong Qualifications Framework level for Associate Compliance Professional (ACOP)
HKIB COM-P-002 (QR Registration No. 23/000890/L4)
40 credits
Total Core Level programme credits across Modules 1–3
HKIB COM-P-002 Programme Handbook
100
Free original practice questions in this bank
OpenExamPrep
HKIB ECF-Compliance Core Level exams are paper-based MCQs with a 70% pass mark: Modules 1–2 have 50 questions in 1.5 hours (HKD600); Module 3 has 80 questions in 2.5 hours (HKD1,600). Completing all three modules supports the ACOP (QF Level 4) pathway. This free 100-question bank covers Modules 1–3 against the March 2026 COM-P-002 handbook.
Sample HKIB ECF-Compliance Core Practice Questions
Try these sample questions to test your HKIB ECF-Compliance Core exam readiness. Each question includes a detailed explanation. Start the interactive quiz above for the full 100+ question experience with AI tutoring.
1In Hong Kong banking practice aligned with HKMA expectations, which statement best describes the compliance function within the three lines of defence model?
2Which approach to normative ethics holds that moral principles apply universally, regardless of culture or situation?
3A bank’s code of conduct is primarily intended to:
4Corporate social responsibility (CSR) in banking most closely refers to:
5The Equator Principles are primarily associated with:
6Reputational risk for a bank is best described as the risk of:
7Under a typical enterprise risk management process, risk identification is followed most logically by:
8Which HKMA supervisory policy manual module is commonly referenced for the risk management framework and three lines of defence expectations for authorised institutions?
9Which Hong Kong regulator is the lead prudential supervisor of authorised institutions under the Banking Ordinance?
10Know Your Customer (KYC) / customer due diligence requirements are primarily designed to:
About the HKIB ECF-Compliance Core Exam
The HKIB ECF on Compliance Core Level is the QF Level 4 pathway for entry- and junior-level compliance practitioners in Hong Kong authorised institutions. Candidates complete three modules — Ethics and Corporate Governance in the Banking Industry (10 credits), Regulatory Framework and Compliance in the Banking Industry (10 credits), and An Effective Compliance Function (20 credits) — totalling 40 credits. Each module is assessed by a paper-based multiple-choice examination (50 MCQs / 1.5 hours for Modules 1–2; 80 MCQs / 2.5 hours for Module 3) with a 70% pass mark. Successful completion supports the Advanced Certificate for ECF on Compliance and the Associate Compliance Professional (ACOP) qualification pathway (QR Registration No. 23/000890/L4).
Assessment
Per-module paper-based multiple-choice papers in English. Modules 1–2: 50 MCQs / 1.5 hours each. Module 3: 80 MCQs / 2.5 hours. Advanced Certificate for ECF on Compliance requires completion of training and a pass in all three modules.
Time Limit
Modules 1–2: 1.5 hours each; Module 3: 2.5 hours.
Passing Score
70% per Core Level module.
Exam Fee
HKD600 (Modules 1–2) / HKD1,600 (Module 3) per examination; HKIB student members receive 50% off examination fees. (Hong Kong Institute of Bankers (HKIB))
HKIB ECF-Compliance Core Exam Content Outline
Module 1: Ethics and Corporate Governance
Business ethics and codes of conduct; CSR/ESG and reputation risk; risk management frameworks and three lines of defence (IC-1 / ISO 31000); Hong Kong regulators overview; bank corporate governance and agency issues; remuneration and CE/director/manager appointments; internal control and the compliance function.
Module 2: Regulatory Framework and Compliance
Hong Kong financial regulatory model (HKMA, SFC, IA, MPFA); risk-based supervision and CAMEL; bank culture reform and Code of Banking Practice; major ordinances and privacy; FATCA, CRS/AEOI and GDPR; licensing for AIs, RIs, insurance agencies and MPF intermediaries; MIC regime; operational risk incident management; e-banking and new-product compliance challenges.
Module 3: An Effective Compliance Function
Key elements of an effective compliance function (independence, formal status, access, resources); compliance frameworks and internal-control limitations; HKMA supervisory tools and three-lines roles; compliance programmes, investigations and remediation; monitoring, training and GRC tools; compliance culture; Regtech/Suptech; data governance and financial-crime interfaces.
How to Pass the HKIB ECF-Compliance Core Exam
What You Need to Know
- Passing score: 70% per Core Level module.
- Assessment: Per-module paper-based multiple-choice papers in English. Modules 1–2: 50 MCQs / 1.5 hours each. Module 3: 80 MCQs / 2.5 hours. Advanced Certificate for ECF on Compliance requires completion of training and a pass in all three modules.
- Time limit: Modules 1–2: 1.5 hours each; Module 3: 2.5 hours.
- Exam fee: HKD600 (Modules 1–2) / HKD1,600 (Module 3) per examination; HKIB student members receive 50% off examination fees.
Keys to Passing
- Complete 500+ practice questions
- Score 80%+ consistently before scheduling
- Focus on highest-weighted sections
- Use our AI tutor for tough concepts
HKIB ECF-Compliance Core Study Tips from Top Performers
Frequently Asked Questions
What is the pass mark for HKIB ECF-Compliance Core Level examinations?
The Core Level pass mark is 70% for each module. HKIB also reports Pass with Credit (80–90%) and Pass with Distinction (above 90%) grade bands in the COM-P-002 programme handbook.
How many questions are on each Core Level module exam?
Modules 1 and 2 each have 50 multiple-choice questions in 1.5 hours. Module 3 has 80 multiple-choice questions in 2.5 hours. All papers are set in English.
How much do the Core Level examinations cost?
Per the COM-P-002 handbook (last updated 4 March 2026), examination fees are HKD600 for each of Modules 1 and 2 and HKD1,600 for Module 3. HKIB student members receive a 50% examination fee discount. Training fees are HKD4,400 (Modules 1–2) and HKD7,900 (Module 3).
What qualification does Core Level completion support?
Candidates who complete Modules 1–3 training and obtain a pass in each examination receive the Advanced Certificate for ECF on Compliance. The Associate Compliance Professional (ACOP) professional qualification is recognised under the Hong Kong Qualifications Framework at Level 4 (QR Registration No. 23/000890/L4), subject to HKIB certification requirements.
Can I sit the examination without completing training?
No. HKIB requires candidates to enrol and complete the training of the relevant module before attending that module’s examination.
Are Modules 1 and 2 shared with another ECF stream?
Yes. Module 1 and Module 2 are identical for ECF on Operational Risk Management and ECF on Compliance. A learner who has completed Module 1 and/or Module 2 under either stream is not required to repeat the same module(s) under the other stream.
Are these official HKIB examination questions?
No. These are original OpenExamPrep practice questions modelled on the ECF-Compliance Core Level syllabus in the official programme handbook. HKIB publishes its own study guides and examinations separately.