Securities and Futures Commission (SFC)
The DPE
has been recognised by the SFC for licensing purposes.
After passing all three DPE papers, individuals are
eligible to apply for registration with the SFC as
Representatives and/or Responsible Officers under the
¡§Guidelines On Competence¡¨. Please refer to the table
below for details.
| Regulated Activity |
Recognised Industry Qualifications* |
Local Regulatory Framework Papers* |
| 1 |
Dealing in Securities |
Papers 1+3 |
Paper 2 |
| 2 |
Dealing in Futures Contracts |
| 4 |
Advising on Securities |
| 5 |
Advising on Futures Contracts |
| 6 |
Advising on Corporate Finance |
| 8 |
Securities Margin Financing |
| 9 |
Asset
Management |
|
*
For registration of Representatives and/or Responsible
Officers.
Note:
1.
The above is extracted from the SFC¡¦s Guidelines on
Competence. Candidates are advised to refer to the
latest
information available on the SFC¡¦s website
(www.sfc.hk).
2. Regulated
Activity 3 (Leveraged Foreign Exchange Trading) is not
included in the above table since the HKSI does
not offer any examination papers on this subject.
3. There
is no competence requirement for Regulated Activity 7
(Providing Automated Trading Services).
Office of the Commissioner of Insurance (OCI)
The OCI has approved the DPE as equivalent to its "Investment-linked Long Term Insurance" examination of the Insurance Intermediaries Quality
Assurance Scheme (IIQAS). Any person who has completed the DPE is eligible for exemption from
taking this examination.
Society of Registered Financial Planners Ltd (RFP-HK)
Candidates who have successfully completed the DPE (i.e.
Papers 1, 2 and 3) will be granted exemptions from 4 out
of the 5 examination papers of the RFP-HK programme.
The four papers to be exempted are:
Module FP 3010 - Financial Planning
Module FP 3020 - Insurance Planning
Module FP 3030 - Investment Planning
Module FP 3040 - Tax Planning (Hong Kong programme) OR
Module FP 3041 - International Finance Management and
Tax (China programme)
