After reading the Guidelines on Competence issued by the SFC, some students will ask us what constitutes as industry experience. They can apply for exemption for the HKSI LE (Licensing Examination organised by the HKSI) Paper 7 to 12, or substitute the Hong Kong Certificate of Education Examination (HKCEE) or the Hong Kong Diploma of Secondary Education Examination (HKDSE), of the minimum requirements of obtaining passing grades in either Chinese+Mathematics or English+Mathematics.
Some people might misunderstand, how can they have industry experience without a license? In addition to direct securities trading experience and asset management experience, the SFC will actually recognize other industry experience (such as research, private equity and proprietary trading) as relevant experience. It should be noted that the so-called industry experience does not necessarily solely refer to the license record in Hong Kong, because the accumulated experience of the license applicant in other countries or regions can also be deemed recognised.
If you need a definitive answer, you can also write a CV describing in detail of who your employer is, job title, job context, types of customer groups you have been in contact with, etc., and then send the CV to the SFC Licensing Division’s email and wait for their reply.
contact method of the Licensing Division of the SFC:
選擇語言後按 1 字
Press 1 after language selection
Securities and Futures Commission
35/F, Cheung Kong Center
2 Queen’s Road Central, Hong Kong
When applying for a license, you also need to describe in text how your work experience is related to the securities industry, which will be reviewed by the case officer of the Securities and Futures Commission and will be manually determined whether your application is eligible for approval (Since the competency guidelines are relatively vague, therefore it leaves a lot of wiggle room for staff judge according to each individual case, so the process is very subjective).
How can we help?
2CExam provides HKSI LE, IIQE, EAQE and SQE related exam preparation materials. We sell mock question banks for HKSI LE Papers 1, 2, 3, 5, 6, 7, 8, 9, 11, 12 in Chinese and English; and bibles for HKSI LE Papers 1, 2, 6, 7, 8 in Chinese. We also offer 1 on 1 tutorial services. Besides, we have also made free tutorial videos for HKSI LE Papers 1, 2, 6, 7, 8, 11, 12 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:
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