However, your licence may still be subject to such condition(s) as the SFC considers appropriate. Q5: 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 9

Type 7 Providing automated trading services Operating an electronic trading platform for matching client orders Type 8 Securities margin financing Providing financing to clients for their purchase of stocks in return for clients’ stocks as collaterals Type 9

Public register of licensed persons and registered institutions This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. The information dates back to 1 April 2003, the commencement date of the Securities

Licensing As the gatekeeper of standards for individuals and corporations seeking to enter the securities and futures markets of Hong Kong, we: grant licences to those who are appropriately qualified and can demonstrate their fitness and properness to be licensed

General information on applications to the SFC for a licence to carry on Type 9 (asset management) regulated activity Option 1 Option 2 Option 3 Academic /industry qualifications degree in the designated fields (Accounting, Business Administration, Economics

Candidates are advised to refer to the latest information available on the SFC’s website. Type 3 RA (Leveraged Foreign Exchange Trading) is not included in the above table since the HKSI Institute does not offer any examination papers on this RA. There is no

You are required to take this exam if you want to apply for a Type 1 (Dealing in Securities), Type 4 (Advising on Securities) or Type 8 (Securities Margin Financing) license with the Securities and Futures Commission (SFC) and you do not have the required

Professional organisation for securities & investment industry that provides examination, training, events, and membership services (Updated: 29January 2020) To reduce the risk of spreading the novel coronavirus in the community, the HKSI Institute will implement

中介人 發牌事宜 » 你是否需要領取牌照或註冊？ » 中介人及持牌人士的類別 » 申請程序 » 持續責任 » 證監會電子服務網站 » 持牌人及註冊機構的公眾紀錄冊 » 修改或寬免發牌規定的名單 » 指引 » 通函 » 諮詢文件及諮詢總結 » 表格 » 常見問題 » 聯絡我們 監管事宜

Licensing Examination for Securities and Futures Intermediaries LE Paper 1 Date From To Examination Type Available for Enrolment and Not Yet Full Search LE Paper 2 Date From To Examination Type Available for Enrolment and Not Yet Full Search

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.

3/8/2019 · 請教各位大哥, HKSI 和 SFC 的 牌照有可分別. 小第不熟這行, 請指教!! 香港討論區 因為衣家的制度係由唔知幾多年前開始，有d 人係無考過 hksi ，或舊制度，但以前做落，佢地係有牌的，轉去第二間

Apply sfc type 9 asset management – 投資 Investment – 香港討論區 Discuss.com.hk	28/10/2019
一個月考過HKSI PAPER 1,7,8,9經驗分享 – 投資 Investment – 香港討論區 Discuss.com.hk	30/5/2012

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23/4/2018 · The video is not past paper, not pass paper, cannot be downloaded and is not a pdf. The video explains and elaborates SFC licensing requirements for Responsible Officers RO. Should you need

作者: 2C Exam.com

Companies seeking SFC licensing Charltons has broad experience in assisting financial intermediaries – including fund managers, corporate finance and investment advisers, and brokers – on SFC licensing approval criteria and application procedures. Our multi

A Type 9 licence is required for any firm that will manage investment funds and/or portfolios of securities and futures on a discretionary basis for any other person. After mid-2016, it is expected that an expanded Type 9 licence will be required for managing Do I

之前只听说过SFC License 有T1到T10但是跟具体的就不是很清楚了。 目前已知的信息是：Regulated activities 外汇 Type 4 证券投资提供依据 Type 5 期货交易提供意见 Type 6 企业融资 Type 7 提供自动化交易 Type 8 证券保证金融资 Type 9

1. 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

SFC issues a circular providing guidance for corporations and individuals for Type 9 activity licence (asset management) Requirements for Asset Management activity Guidance for corporations and individuals for Type 9 activities Local regulatory framework paper

27/11/2019 · Search SFC website, please. Please read my note carefully, CFA exam with a pass in Level 1 can be used to exempt the practical papers (Papers 7, 8, 9, 11, 12), but

為證券及投資業界而設立的專業團體，提供考試、培訓、活動、會籍等服務 (最後更新: 2020年1月29日) 為了盡量減低疫情在社區擴散的風險，香港證券及投資學會(學會)將實施以下措施： 由2020年1月30日星期四開始，學會每天將提供有限度的櫃位服務，時間由下午12時半至 2時半，直至另行通告。

Highlights of the course include: SFC Licensing Regime update for SFC licenses, RO license and Representative licenses applications Who needs an SFC licence or registration Consequence of Unlicensed regulated activities and SFC related enforcement actions

We provide practice sample questions for Hong Kong Securities Institute (HKSI) LE Paper 1, Paper 7, Paper 8 and Paper 9 licensing examinations taken by securities brokers and

In general, a responsible officer (RO) for Type 9 regulated activity is required to pass licensing examinations. However, the SFC may exempt a responsible officer applicant from taking the exams under certain conditions.

1/10/2009 · SFC將眾多金融活動分為9種 第1類 (即Regulated Activities Type 1): 證券交易 第4類 (即Regulated Activities Type 4): 就證券提供意見 第6類(即Regulated Activities Type 6): 就機構融資提供意見 Type 1同4係比較容易申請到牌照既 因為係金融業既最簡單部份 (買賣

Job ads Responsible Officer (SFC Type 9) in Hong Kong, jobs available in Hong Kong for Responsible Officer (SFC Type 9), make your job search easy with Joboolo! SFC Responsible Officer – Type 4,9 (Asset Management/RO/Sole) From : Indeed Location : Wan Chai, Hong Kong Island

Obtain Hong Kong Type 9 (Asset Management) License and benefit from ease of business establishment, favourable tax regime and conductive regulatory environment. For individuals and corporations seeking to enter the securities and futures markets of Hong

License Regulated Activities Examples Type 1 Dealing in securities-Trading /broking stock options/Bond, Buying / selling mutual funds and unit trusts for clients on either an agency or principal basis or as a market maker. -Placing and underwriting of securities

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ComplianceAsia Client Information: Hong Kong Licensing. 3 At least one of the ROs must be an executive director as defined under the SFO. This means a director actively involved in the business. All your Executive Directors must seek the SFC’s approval as

SFC license 各位師兄, 我想請教係咪如果CFA charter左係可以exempt自動唔使考SFC Papers 1, 7, 9喎o的試? 謝謝! 回覆 4# 的帖子 Search SFC website, please. Please read my note carefully, CFA exam with a pass in Level 1 can be used to exempt the practical

SFC Licensing – Do you need a licence? 1. Introduction As a key financial hub in Asia, Hong Kong has attracted many niche players to set up their own financial advisory operations in the city.

2,181 Responsible Officer jobs available on Indeed.hk, updated hourly. Displayed here are Job Ads that match your query. Indeed may be compensated by these employers, helping keep Indeed free for jobseekers. Indeed ranks Job Ads based on a combination of

13/4/2011 · Ive recently been offered a job at a hedge fund, and they said that ill have to acquire the SFC type 4 & 9 License. Now I have no idea what the mm responsible officer.. i mite be able to fulfill the criteria to not take the exam. maybe i should look into this option further.

Charltons offers advice regarding all areas of SFC licensing of regulated activities. Learn more. Licensing Hong Kong’s Securities and Futures Commission (SFC) requires individuals and entities involved in ten “regulated activities” to be license by or registered with the SFC..

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26/6/2013 · Hi all, I’ve just done the HKSI paper Level 1 a couple of weeks ago, and since I would have appreciated to learn about some experiences, let me share my impression of the exam with you. I went through the official rule book and also studies with those questions: PassHKSI – Practice Questions for HKSI LE Paper 1 Licensing Exam

Type 9: Asset management Type 10: Providing credit rating services Examples of the above regulated activities can be found on the In reviewing an individual’s application for a SFC license

Are you looking for LE HKSI Paper 1,2,3,5,6,7,8,9,12 or IIQE Paper 1,2,3,4,5 exam questions, past paper, study notes, manual, Q&A or question bank? Please visit this page to learn more about our Pass Paper Question Bank Products.

Common issues / questions from the SFC license requisitions in processing the SFC licenses applications Latest SFC Licensing Trends and Upcoming Changes Recent developments and trends on SFC licensing regime Upcoming Expanded Type 9 license

Competence Requirements for Asset Management Licence Applicants Clarified by SFC On 23 June 2017, Hong Kong’s Securities and Futures Commission (SFC) issued a circular which provides guidance for existing licensed corporations and individuals that seek to be licensed for Type 9 regulated activity (asset management) under the Securities and Futures Ordinance.

Has anyone in HK taken the Type 9 licence (Portfolio Management)? How much studying do you feel is sufficient and how does the difficulty compare to CFA? Skip to main content 121 days until the CFA exam. Be prepared with Kaplan Schweser

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• Latest SFC Licensing Trends and Upcoming Changes o Recent developments and trends on SFC licensing regime o Upcoming Expanded Type 9 license regime and its impact on fund management company and Type 9 RO licenses o Preparation for

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Professional organisation for securities & investment industry that provides examination, training, events, and membership services Join as Member Enjoy discounted price for all

Name of the Listing SFC Licence Type Price Reason of Buying Sam 9 $3million Investment Thai Bank 1 $6000000 Expand it’s brokerage business to Hong Kong Chinese P2P Company Wants to Buy a SFC Type 1, 4, 9 Company 1, 4, 9 $8000000 A Chinese P2P

Common issues / questions from the SFC license requisitions in processing the SFC licenses applications Latest SFC Licensing Trends and Upcoming Changes Recent developments and trends on SFC licensing regime Upcoming Expanded Type 9 license

10/1/2017 · jrkob- Clearing the SFC exam is not a problem for me. I think I will need to clear Type 9 exam which is for asset management. The problem is meeting requirements like hiring at least 2 responsible officers, having a minimum of USD 5 million of paid up capital,

這個頁面主要講述HKSI 證券及期貨從業員資格考試以及SFC 證監會牌照申請以及豁免問題，也有講述證券及期貨從業員資格考試LE HKSI Paper 1,2,3,5,6,7,8,9,11,12 的相關事項。如果同學對以上有疑問，歡迎