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HKSI Paper 1
Core licensing paper covering the Hong Kong securities and futures framework, fit and proper obligations, and frontline conduct expectations.
HKSI Paper 2
Regulatory paper covering securities dealing rules, client-facing controls, and the compliance expectations around Type 1 activity.
HKSI Paper 3
Regulatory paper covering Hong Kong derivatives regulation, licensing, client assets, conduct, exchange-traded futures and options, and OTC derivatives reporting, clearing and margin obligations.
HKSI Paper 4
Regulatory paper for credit rating service activity, conflicts management, methodology governance, and disclosure expectations.
HKSI Paper 5
Regulatory paper covering the corporate finance framework, conduct expectations for Type 6 activity, and governance standards around advisory mandates.
HKSI Paper 6
Regulatory paper focused on the asset-management framework, fund and discretionary management obligations, and the conduct standards for Type 9 activity.
HKSI Paper 7
Practical paper covering Hong Kong and international market structure, market participants, and the way core instruments operate in practice.
HKSI Paper 8
Practical paper covering securities products, equities market practice, settlement flow, and the client-facing mechanics of securities business.
HKSI Paper 9
Practical paper covering derivatives instruments, trading mechanics, margin concepts, and the way derivative exposures are handled in client business.
HKSI Paper 10
Practical paper covering credit analysis workflow, rating assignments, surveillance, and client-facing issues in credit rating service work.
HKSI Paper 11
Practical paper covering transaction structures, listing work, deal execution, and corporate finance market practice.
HKSI Paper 12
Practical paper covering portfolio construction, fund operations, mandate management, and asset-management market practice.
HKSI Paper 15
Sponsor paper for principals covering eligibility, due diligence leadership, sponsor standards, and transaction governance.
HKSI Paper 16
Sponsor paper for representatives covering execution discipline, record standards, due diligence support, and sponsor work controls.
HKSI Paper 17
Enhanced competence paper covering the Codes on Takeovers and Mergers and Share Buy-backs, offer process rules, and adviser responsibilities.
HKSI Paper 18
Regulatory paper covering the licensing and operational-control framework for depositary service providers.
HKSI Paper 19
Practical paper covering the day-to-day operation of depositary services for collective investment schemes and the related oversight workflow.
LFX Rep Paper 1
Representative-level leveraged foreign exchange paper focused on the legal and regulatory framework for leveraged FX trading.
LFX Rep Paper 2
Representative-level leveraged foreign exchange paper focused on FX market mechanics, trade practice, and basic analysis.
LFX RO Paper 1
Responsible-officer paper covering the regulatory framework, governance expectations, and oversight responsibilities for leveraged FX activity.
LFX RO Paper 2
Responsible-officer paper covering market practice, risk management, and governance around leveraged foreign exchange business.
CPWP M1 P1
CPWP Module 1 paper focused on technical, industry, and product knowledge used in private wealth management work.
CPWP M1 P2
CPWP Module 1 paper focused on deeper product understanding, portfolio thinking, and client-solution design for wealth management.
CPWP Module 2
CPWP Module 2 paper focused on ethics, compliance, conduct, and governance in private wealth management.
CIIA Final
Advanced investment-analysis examination covering valuation, portfolio management, market analysis, and professional judgment.
HK Gold Exchange
Specialist examination covering Hong Kong gold market structure, precious metals dealing practice, and the operational framework of the exchange.
CVAP
Specialist examination covering virtual asset regulation, market structure, custody, and core product knowledge for practitioners serving VA-related business.
IIQE Paper I
Core IIQE paper for insurance principles, policy structure, legal concepts, ethics, and the Hong Kong insurance framework.
IIQE Paper II
General insurance paper covering property, liability, motor, underwriting, claims, and commercial policy handling.
IIQE Paper III
Life and long term insurance paper covering protection needs, policy types, riders, servicing, and intermediary conduct.
IIQE Paper V
ILAS-focused paper covering linked structures, charges, switching, disclosures, suitability, and post-sale servicing.
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