Securities & Futures Commission of Hong Kong

Test of competence

 For responsible officer 

  Option 1 Option 2 Option 3
Academic / Industry qualifications 

Satisfy one of the following:

  • Degree in accounting, business administration, economics, finance, or law;
  • Other degree with passes in at least two courses in accounting, business administration, economics, finance, or law;
  • Professional qualification in law, accounting or finance (including CFA and CFP); or
  • Recognized industry qualifications 
Passes in Chinese / English;
and Mathematics in HKCEE (or equivalent)
--
Relevant industry experience  At least 3 years over the past 6 years At least five years over the past eight years At least eight years over the past 11 years
Management experience  Two years
Local regulatory framework papers  Pass

 For licensed representative 

  Option 1 Option 2 Option 3
Academic / Industry qualifications 
  • Degree in accounting, business administration, economics, finance, or law;
  • Other degree with passes in at least two courses in accounting, business administration, economics, finance, or law; or
  • Professional qualification in law, accounting or finance (including CFA and CFP)
Passes in Chin/ Eng + Maths in HKCEE or equivalent  -- 
Relevant industry experience  --  At least two years over the past five years  --  At least five years over the past eight years At least two years over the past five years
Recognized industry qualifications  --  --  Pass  --  Pass
Local regulatory framework papers  Pass
3.6107 s