What is the Use of an HKSI Notification of Result and Certificate? Do I Need to Submit Both for SFC/HKMA License Application?

May 25, 2021

HKSI’s notification of results and HKSI certificate are two different kinds of proof. The Hong Kong Securities and Investment Institute is responsible for organizing examinations and issuing certificates. Therefore, the notification of results and certificates are issued by HKSI. However, passing the HKSI LE exam and being issued a certificate is not necessarily related. Anyone who takes the HKSI LE exam will be issued a notification of results after the completion of the exam, which records the basic information of the students, the exam date and exam information, the score of the exam, and the performance score of each chapter.

The notification of results is only valid for 3 years, and within 3 years from the exam date, the notification of results can be handed to your company directly. Hence your company can submit your application over to the SFC for approval. However, after 3 years, the notification of results will lose its reference value.

The certificate is not received every time a subject is passed. Candidates must pass the designated combination of exam papers within three years before they can obtain the qualification certificate issued by the HKSI. The HKSI certificate has no expiry date, just like a certificate of completion of a degree, both of them are lifetime valid certificates. However, the actual effect of the HKSI certificate is actually minimal. The most useful usage is that the “HKSI Practising Certificates” or “HKSI Specialist Certificates ” certificate in the “Securities” category can exempt you from taking the Insurance Intermediary Qualifying Examination IIQE in your entire life – Paper 5 – Investment-linked long-term insurance. However, it needs to be added that if you have not taken the HKSI LE Papers 7, 8 but are exempted through academic qualifications or work experience, you will not be exempted from IIQE Paper 5.


For details of IIQE exemption, please refer to: https://2cexam.com/zh-hant/%e8%b1%81%e5%85%8d%e4%bf%9d%e9%9a%aa%e4%b8%ad%e4%bb%8b%e4%ba%ba%e8%b3%87%e6%a0%bc%e8%80%83%e8%a9%a6-iiqe/


In addition, its function is to add a line of seemingly professional achievements to your resume, which can be used to show off to customers, family and friends. However, holding a certificate does not mean that you have a license, nor can it be used to apply for an SFC / HKMA license, whilst you do not need to have any HKSI certificate to apply for a license.


How to obtain an HKSI certificate?

The HKSI certificate is a certificate issued by HKSI, which proves that students have successfully obtained a pass in the specified exam combination within 3 years. HKSI provides a variety of certificates to allow students to prove their knowledge in their targeted field(s) by passing a set of related exams, including “securities”, “derivatives”, “credit rating services”, and “institutional financing” and “asset management”, the above categories are divided into “HKSI Practising Certificates” and ” HKSI Specialist Certificates ” certificate scheme. The “HKSI Practising Certificates” certificate refers to the completion of the exam papers designated in becoming a licensed representative. The “HKSI Specialist Certificates ” certificate refers to the completion of the examination papers for the designated licensed representative and responsible officer. If you are exempted from Exam Papers 7 to 12 when you apply for an SFC license, as you did not take Exam Papers 7 to 12, you will not be awarded any certificate.

For free information, please refer to https://2cexam.com.hk/3182/

(For details, please refer to: https://www.hksi.org/en/qualification/practising-qualifications/licensing-examination-for-securities-and-futures-intermediaries/overview/)

How can we help?

2CExam provides HKSI LE, IIQE, EAQE and SQE related exam preparation materials. We sell mock question banks for IIQE Papers 1, 2, 3, 5 and MPFE in Chinese and English; and bibles for IIQE Papers 1, 2, 3, MPFE in Chinese. We also offer 1 on 1 tutorial services. Besides, we have also made free tutorial videos for IIQE Papers 1, 2, 3 and MPFE and posted on public channels such as Youtube/ Bilibili/ Tencent/ Iqiyi. 2CExam has been an exam training expert for years. Should you need any help please visit www.2cexam.com or contact us through:

Phone +852 2110 9644 Email: [email protected] Wechat: hk2cexam WhatsApp: +852 9347 2064


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