Licensing examination for securities and futures intermediaries paper

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Licensing examination for securities and futures intermediaries paper

Yes, a list of these tools have been developed. My company is involved in corporate finance work. Do I need to satisfy any extra competence requirements if I want to advise on matters falling within the ambit of the Hong Kong Codes on Takeovers and Mergers and Share Buy-backs "Codes"?

If the Executive as defined under the Codes considers that a financial adviser is not able to meet these requirements, he may not allow the financial adviser to act in that capacity even if there is no specific restriction stated on the licence. In order to demonstrate your competence in Codes-related matters, you will be required to complete Supplement 11 i.

Generally speaking, the person must satisfy the SFC that he has the experience of supervising at least one complete transaction under the Codes or the London Takeover Code.

Since registered institutions have a legal obligation to ensure that their relevant individuals meet the requirements set out in the Guidelines on Competence, can specific guidance be provided on the practical interpretation? In respect of other relevant individuals, the RI concerned has to ensure that they comply with the corresponding requirements for licensed representatives, and maintain sufficient records with supporting documents, where applicable on how these requirements are satisfied and make these records available for inspection upon request from the HKMA.

Clarification on some important points is given below: Appendices D and E of the Guidelines — II Conditional Exemption The relevant RI should ensure that the conditions specified in Appendix D or E whichever is applicable have been fully satisfied before allowing an individual to be exempt from the recognized industry qualification or the local regulatory framework paper requirement.

This includes ensuring that the individual completes 5 additional CPT hours in an appropriate area, either within the preceding 6 months or within 12 months after the exemption.

I have been involved in compliance work for many years.

Hong Kong Securities Institute Study Manual for Paper 1: Fundamentals of Securities and Futures Regulation of the Licensing Examination for Securities and Futures Intermediaries Contributor Hong Kong Securities Institute. The Licensing Examination for Securities and Futures Intermediaries (LE), a practical and market-focused examination for individuals who wish to pursue their careers in the . Home FAQs Intermediaries Licensing Competence. the SFC reserves the right to require such persons to take the examination(s) where appropriate. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities.

Can I be exempted from the local regulatory framework examination requirement in order to be licensed? Yes, the Commission may consider granting you the exemption if you have been actively involved in regulatory or compliance work: However, your licence may still be subject to such condition s as the SFC considers appropriate.

I have been a Responsible Officer carrying on Type 1 regulated activity for many years, and now I would like to be the Responsible Officer to carry on Type 2 regulated activity. Can I be exempted from the local regulatory framework examination requirement? Serving professional investor clients only is unlikely to be regarded as constituting a limited scope of business activities.

In the event of the SFC granting such an exemption, it might well decide to impose restrictions on the scope of activities to be undertaken by you, together with other conditions where necessary. Also, the exemption will be subject to completion of additional CPT hours.

According to item 6 of the exemption criteria as set out in Appendix E of the Guidelines on Competence, an individual may apply for conditional exemption from taking the local regulatory framework paper if he satisfies, among other things, the condition that he will only be involved in a limited scope of activities.

The following will generally be regarded as "limited scope of activities": The applicant only engages in certain restricted activities within the sponsoring corporation; The applicant assumes a very senior management level role and is not involved in the day-to-day operations; or The sponsoring corporation is only carrying on a limited scope of business activities.

Regional Research Head coming to Hong Kong occasionally and is accompanied by other local licensed staff in client meetings, or Persons only providing technical advice to clients on the structuring of corporate finance deals. The above examples are not intended to be exhaustive.

Are there any exemptions from the competence examinations requirement for former practitioners applying for a licence to re-enter the industry? Please refer to Question 2 above.Papers 1 to 12 have been approved by the Academic and Accreditation Advisory Committee of the SFC (“AAAC”) as a Recognized Industry Qualification and Local Regulatory Framework Paper for meeting the competence requirements of the nationwidesecretarial.com the Licensing Examination for Securities and Futures Intermediaries The Licensing Examination for.

The Licensing Examination (LE) for Securities and Futures Intermediaries consists of fourteen papers in total.

This is the prerequisites and important examination for one to join the financial markets.

Licensing examination for securities and futures intermediaries paper

This page contain students of 2cexam that have passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1,2,5,6,7,8,9, Licensing Examination for Securities and Futures Intermediaries. Date From.

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Licensing examination for securities and futures intermediaries paper

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Examination Type. Available for Enrolment and Not Yet Full. The Licensing Examination for Securities and Futures Intermediaries (LE), a practical and market-focused examination for individuals who wish to pursue their careers in the . This page is about Licensing Examination for Securities and Futures Intermediaries (LE) Registration Instructions, it also includes details related to LE HKSI Paper 1,2,3,5,6,7,8,9, If candidates have any related questions, they are welcomed to contact 2CEXAM.

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