SECURITIES LICENSING Whether you want to be a Responsible Officer or a Representative, the first step in either process is obtaining the proper securities license. Each license corresponds to a specific type of investment and the scope of services that will be provided (known as Regulated Activities). Therefore most of the front staff such as sales, sales traders, traders, analysts and ECM / DCM staff must be licensed with the SFC. Obtaining a valid license and ensuring ongoing compliance are critical business functions for both the candidates and their employers in Hong Kong. Employers would appreciate candidates who can obtain the licenses as quickly as possible. LICENSING EXAMINATIONS For the purpose of licensing, candidates must meet the SFC criteria on educational qualifications and suitability and length of work experience.

• Hong Kong Monetary Authority

The Licensing Regime under The Securities and. About Hong Kong SFC licensing for. Is dealt with in Part V of the Securities and Futures Ordinance. Looking for English HKSI LE Paper 1,2,3,5,6,7,8,9. 1,2,3,5,6,7,8,9,12 Study Manual provided by the Hong Kong Securities and. The licensing conditions of the SFC.

If the criteria are not met, there may be exemptions available but these are not granted often and candidates will be required to sit the licensing examinations and pass a combination of papers. News LE Paper 1 “Fundamentals of Securities and Futures Regulation” (Version 2.9) will be effective starting from 26 September 2017. Updated LE Paper 1 (New Version 2.9) course materials will be applicable to Paper 1 live class (starts on Sep 14). Traditional classroom learning with highest level of interaction. Available Paper Paper 1 Duration 15 hours (3 hours x 5 sessions) Key features.

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Study wherever and whenever you want. And you can specify your own access start date. Written and reviewed by high scorers. You can learn in fast pace through practicing highest-yield, most challenging questions. Available Paper Paper 1, 2, 3, 6 & 16 Key features. Representative exam question types for optimal exam preparation. Hundreds of practice questions except Paper 16.

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Explanation of answers (Paper 1, 2 and 3 only). Score reports. Receive username within 2 working days. Please check the and before subscription The above information is intended as a general summary. Please refer to the brochure for exact terms and conditions and details.

By partnering with Kaplan for the in-house training or setting up private lessons, you are giving your staff the best chance to pass in one go. Kaplan has run in-house trainings and private lessons for over 200 financial institutions in Hong Kong. We have a proven track record of improving the speed-to productivity and reducing on-boarding costs of new hires and staff switching to new roles. Kaplan delivers a one-stop shop CPT solution for individuals carrying on regulated activities, who are obligated to meet SFC’s compliance requirements to undertake a minimum of 5 CPT hours per calendar year for each regulated activity. Divx 5.2.1.

Kaplan is experienced in supporting your compliance team in:. Designing and implementing a CPT program to stay abreast of complex regulatory requirements and the dynamic industry landscape. Issuing certificate of attendance. Keeping backup copies of trainings conducted, attendance records and training materials Contact us for assessment and price quote. I will make sure that my team goes on your courses for all the other exams they need to take. I thought it was worth every penny. We are all time constrained in some way and I thought this was a great way to focus on the most important aspects of the extensive syllabus.

Terence Leeworthy 'The trainer made the course very easy to listen through a long topic, also very good at highlighting how to get through the exam and relevant points to study. This was important given the broad content covered. Overall, it would have been extremely difficult to pass if I had not been on the course.' - Nicholas Angove 'I just want to let you know that I greatly appreciate your teaching efforts in February. It prepared me extremely well for the exam. I passed first time.

Many of the example questions you went through were proven to be very helpful during the exam. I believe had I not taken your course I would have had great difficulty in the exam itself, as many of the questions were difficult due to their ambiguity. Your explanations during the course, especially the working through of example questions were the key factors in my result.' - Scott Mackenzie 'The course and materials were fantastic – very straightforward and concentrated. Tutor is fantastic. He explained the materials in a very clear and concise way and applied focus on areas of specific importance. He also made himself available after the course and showed a genuine interest in assisting students through the process.

I have taken a number of exam prep courses in the US, Europe and now in Asia and he stands out as an outstanding tutor.' - A student from Spring 2011 Class 'Your class helped me a lot, specially your tricks and explanations you gave during this course. And you made it a real pleasure to run through these quite dry and not always very interesting topics.' Wanger 'I just wanted to record my thanks for your two e-learning courses (Papers 1 & 6) that I have subscribed to over the last 2 weeks. It is so much easier to say thank you when you know it has all worked. All in all, two good courses and job done. Thank you again.'

Hong Kong Monetary Authority

'The course was very helpful and I think was the major contributor to me passing as I was able to focus my study. ' - Stephen Ellis. SECURITIES LICENSING Each license corresponds to a specific type of investment and the scope of services that will be provided, known as Regulated Activities). Click to download the list of regulated activities. LICENSING EXAMINATIONS For the purpose of licensing, candidates must meet the SFC criteria on educational qualifications and suitability and length of work experience.

If the criteria are not met, there may be exemptions available but these are not granted often and candidates will be required to sit the licensing examinations and pass a combination of paper. Click to download the table of Regulated Activities and Corresponding Papers There are two modes of examination for LE Papers i.e., Computer-based Examination (CBE) and Paper-based Examination (PBE). Regardless of the examination mode, all examination papers will be offered in both English and Chinese, and examination questions will be set in a multiple-choice format. Candidates will be required to answer all questions in each paper. Click to download details of exam format. All information provided above is provided for information purposes only.

Kaplan Financial does not assume any responsibility whatsoever for the information accuracy and any future changes set forth by the SFC and HKSI. In the event of discrepancy, the official information and decision from the SFC and HKSI shall prevail.

INTRODUCTION The licensing and registration of persons operating in Hong Kong’s securities and futures markets and non-bank retail leveraged foreign exchange market is dealt with in Part V of the Securities and Futures Ordinance (the ‘SFO’) which came into effect on 1 April 2003. The SFO is administered by the Securities and Futures Commission (the ‘SFC’). ‘SINGLE LICENCE’ REGIME Part V of the SFO establishes a ‘single licence’ regime whereby a person requires only one licence or registration to conduct different types of regulated activities. The only exception to the single licence arrangement is that securities margin financiers and their representatives must conduct their business through a separate corporation (Section 118(1)(d)) and therefore require a separate licence.