Mission and Code of Practice

Hong Kong Securities and Investment Institute is a professional membership organisation established in 1997 for the securities & investment industry in the region.

Our Vision is 'To be the leading organisation in Greater China in promoting the standard of financial services by offering the highest quality professional examinations and training, and most valued and respected membership in the securities & investment industry.'

Our Mission is to:
  • Set standards of professional excellence and integrity for members and market participants, and to provide the means of attaining them;
  • Contribute to Hong Kong's role as a leading international finance centre; and
  • Broaden the membership of professionals and enhance the capabilities and reputation of members.
Members must:
  • Act in their client's interest rather than their own in a situation where conflicts occur. They should act honestly and in good faith and exercise independence in making professional judgements.
  • Carry out their work to the highest ethical, professional and technical standards expected of them as a member of the Institute.
  • Ensure that they are, and remain, competent to carry out the duties that their profession requires.
  • Encourage the training of young practitioners who are under their authority and give proper supervision and guidance at all times.
  • Obey the rules and regulations enforced by the competent authorities, and follow the spirit as well as the letter of the law.