Qualifications Roadmap

Our Qualifications Roadmap provides a guide to competence levels and appropriate qualifications.

Trading

Level

Examinations

Foundation Level

LE Paper 1 and LE Paper 7 and/or

PRC Securities Regulations Examination

Qualifying Level 

LE Paper 8 and/or

LE Paper 9 and/or

GSQE Paper 1

Specialist Level 

LE Paper 2 and/or

LE Paper 3 and/or

GSQE Paper 2

Professional Level 

CIIA

Note:

  1. The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
  2. Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute, except GSQE Paper 1.
  3. Candidate who reached Specialist Level and above can apply for Ordinary Membership (MHKSI) of the HKSI Institute, except GSQE Paper 2. Specialist Level is not a must for candidate who reached Qualifying Level to pursue qualifications in Professional Level.
  4. PRC Securities Regulation Examination is only for candidate who intend to conduct relevant business in Mainland China. It is not a must for candidate who pursue qualifications in higher levels.
Investment Analysis

Level

Examinations

Foundation Level

LE Paper 1 and LE Paper 7 and/or

PRC Securities Regulations Examination

Qualifying Level 

LE Paper 8 and/or

LE Paper 9

Specialist Level 

LE Paper 2 and/or

LE Paper 3

Professional Level 

CIIA

Note:

  1. The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
  2. Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute.
  3. Candidate who reached Specialist Level and above can apply for Ordinary Membership (MHKSI) of the HKSI Institute. Specialist Level is not a must for candidate who reached Qualifying Level to pursue qualifications in Professional Level.
  4. PRC Securities Regulation Examination is only for candidate who intend to conduct relevant business in Mainland China. It is not a must for candidate who pursue qualifications in higher levels.
Asset Management

Level

Examinations

Foundation Level

LE Paper 1 and LE Paper 7 and/or

PRC Securities Regulations Examination

Qualifying Level 

LE Paper 12 and/or

MPF Intermediaries Examination 

Specialist Level 

LE Paper 6

Professional Level 

CIIA

Note:

  1. The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
  2. Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute, except MPF Intermediaries Examination.
  3. Candidate who reached Specialist Level and above can apply for Ordinary Membership (MHKSI) of the HKSI Institute. Specialist Level is not a must for candidate who reached Qualifying Level to pursue qualifications in Professional Level.
  4. PRC Securities Regulation Examination is only for candidate who intend to conduct relevant business in Mainland China. It is not a must for candidate who pursue qualifications in higher levels.
Investment Advisory

Level

Examinations

Foundation Level

LE Paper 1 and LE Paper 7 and/or

PRC Securities Regulations Examination

Qualifying Level 

LE Paper 8 and/or

LE Paper 9 and/or

MPF Intermediaries Examination

Specialist Level 

LE Paper 2 and/or

LE Paper 3

Note:

  1. The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
  2. Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute, except MPF Intermediaries Examination.
  3. Candidate who reached Specialist Level and above can apply for Ordinary Membership (MHKSI) of the HKSI Institute. 
  4. PRC Securities Regulation Examination is only for candidate who intend to conduct relevant business in Mainland China. It is not a must for candidate who pursue qualifications in higher levels.
Wealth Management

Level

Examinations

Foundation Level

LE Paper 1 and LE Paper 7 and/or

PRC Securities Regulations Examination

Qualifying Level 

LE Paper 8 and/or

LE Paper 9 and/or

MPF Intermediaries Examination

Specialist Level 

LE Paper 2 and/or

LE Paper 3

Advanced Level 

ACIDWP

 

Professional Level 

CIWM

CPWP

Note:

  1. The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
  2. Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute, except MPF Intermediaries Examination.
  3. Candidate who reached Specialist Level and above can apply for Ordinary Membership (MHKSI) of the HKSI Institute. Specialist Level is not a must for candidate who reached Qualifying Level to pursue qualifications in Advance Level and/or Professional Level.
  4. PRC Securities Regulation Examination is only for candidate who intend to conduct relevant business in Mainland China. It is not a must for candidate who pursue qualifications in higher levels.
Corporate Finance

Level

Examinations

Foundation Level

LE Paper 1 and LE Paper 7 and/or

PRC Securities Regulations Examination

Qualifying Level 

LE Paper 11 and/or

LE Paper 16

Specialist Level 

LE Paper 5 and/or

LE Paper 15

Note:

  1. The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
  2. Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute.
  3. Candidate who reached Specialist Level and above can apply for Ordinary Membership (MHKSI) of the HKSI Institute.
  4. PRC Securities Regulation Examination is only for candidate who intend to conduct relevant business in Mainland China. It is not a must for candidate who pursue qualifications in higher levels.
Credit Ratings

Level

Examinations

Foundation Level

LE Paper 1 and LE Paper 7

Qualifying Level 

LE Paper 10

Specialist Level 

LE Paper 4

Note:

  1. The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
  2. Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute.
  3. Candidate who reached Specialist Level and above can apply for Ordinary Membership (MHKSI) of the HKSI Institute.
Operations

Level

Examinations

Foundation Level

LE Paper 1 or

PRC Securities Regulations Examination

Qualifying Level 

IOC

Note:

  1. The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
  2. Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute.
Qualification