Mission and Code of Ethics

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

Our Visions are:

  • To champion professional standards of excellence in Hong Kong’s financial services industry.
  • To contribute to Hong Kong’s role as a leading international financial centre.
Our Missions are:
  • Setting standards through examinations and qualifications.
  • Raising standards through learning and professional development programmes.
  • Promoting standards through membership community.
Members must:
  • Act in their client’s interest, in priority to their own in a situation where conflicts occur. To the best of their endeavours, members should not place themselves in situations where there are conflicts of interests. They should act in good faith and exercise independence in making professional judgments.
  • Carry out their work with due and reasonable skill and care and in accordance with the current best industry practice and the high ethical, professional and technical standards expected of them as members of the HKSI 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 all applicable laws and regulations of the Hong Kong, all rules and regulations enforced by the competent authorities, and follow the spirit as well as the letter of all relevant laws.
  • Not engage in any illegal, dishonest or misleading behaviour that might have a negative impact on their reputation as members or bring dishonour or disrepute upon the HKSI Institute or its other members.