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Licensing Examination for Securities and Futures Intermediaries

Introduction The Licensing Examination for Securities and Futures Intermediaries (the HKSI Licensing Examination) has been designed to be in line with the single licensing regime under the Securities and Futures Ordinance. It has been approved by the Academic and Accreditation Advisory Committee of the Securities and Futures Commission (SFC) as Recognised Industry Qualification and Local Regulatory Framework Paper for meeting the competence requirements of the SFC. The HKSI Licensing Examination comprises the following papers*: Recognised Local Regulatory Framework Paper (Regulatory Papers) Paper 1 Fundamentals of Securities and Futures Regulation (a 90 minutes examination with 60 multiple choice questions) Regulation of Securities (a 60 minutes examination with 40 multiple choice questions) Regulation of Derivatives (a 60 minutes examination with 40 multiple choice questions) Regulation of Corporate Finance (a 60 minutes examination with 40 multiple choice questions) Regulation of Asset Management (a 60 minutes examination with 40 multiple choice questions)

English Version

Paper 2

Paper 3

Paper 5

Paper 6

Recognised Industry Qualification (Practical Papers) Paper 7 Financial Markets (a 90 minutes examination with 60 multiple choice questions) Securities (a 60 minutes examination with 40 multiple choice questions) Derivatives (a 60 minutes examination with 40 multiple choice questions) Corporate Finance (a 90 minutes examination with 40 multiple choice questions) Asset Management (a 60 minutes examination with 40 multiple choice questions)

Paper 8

Paper 9

Paper 11

Paper 12
*

The HKSI Licensing Examination does not comprise Paper 4 and Paper 10.

Syllabus

Pass Mark The minimum pass mark for each Paper is 70%. Syllabus

Study Manual The examinations in respect of each Paper shall be based on the syllabus and the Study Manual published by the Hong Kong Securities Institute. Updates of the syllabus and/or the Study Manuals (if any) will be produced at appropriate intervals. Candidates are advised to check that they have the latest version prior to taking the examinations.

English Version

The syllabus of each Paper is listed in this booklet.