Certification & Qualification Programme

Certification & Qualification Programme

Prepare for a career in the financial services industry

We offer the following certification and qualification programmes. These are accredited by local regulators and recognised by international professional bodies within the financial services industry.

Asset Management Fundamentals (AMF)

This training series is dedicated to those who plan to enter into the asset management field. The 50-hour training is designed to help people who do not have any knowledge and experience regarding asset management.  Upon successful completion of all FOUR modules, you will be awarded the Certificate of Completion for this programme.

You can choose to enrol in the particular module(s) that you are interested in.   Participants are required to attend and complete all classes specified by each module.  Attendance record will be issued based on your actual attendance record. 

(*) Shared modules with another programme called "Back Office Fundamentals for Wealth & Asset Management".

Certified Private Wealth Professional (CPWP) Module 1

This training series is dedicated to candidates of CPWP Module 1 Examinations and financial services practitioners who wish to enter into the private wealth management (PWM) field.  Join the entire 40-hour training on the 14 topics or simply select the specific topics you are interested in.

Programme Details

 Paper & Topic Training hours
Paper 1 - Financial instruments  
T2 - Fixed Income Investment 2
T3 - Equity Securities 2
T4 - Foreign Exchange 2
T5 - Derivatives 4
T6 - Structured Products 4
T7 - Alternatives Investments 4
T8 - Unit Trust and Investment Funds 2
T9 - Lending and Leverage 2
Total 22
Paper 2 - Wealth Management  
T1 - Overview of PWM Industry, Products and Services 2
T10 - Wealth Planning 3
T11 - Portfolio Management - Theories and Practices 4
T12 - Behavioural Finance 3
T13 - Mainland China and Asia-Pacific Financial and PWM Markets 3
T14 - Customer Relationship Management 3
Total 18

 

Certified Trust Practitioner™ Accreditation Programme - Trust Training Certificate (TTC)

                            

 

TTC is a core component of achieving the Hong Kong Trustees' Association ("HKTA") Certified Trust Practitioner™ (CTP) designation.  The training course is structured in 2 parts (Part A - Foundation and Part B - Advanced).  The entire course consists of 14 units and 42 hours in-class time.  Participants are required to attend the classes. 

Collectively all units completed from Part A and seven(7) completed units from Part B form the full course.  Participants who successfully attend and complete the full course and pass the examination for both parts will be awarded "Trust Training Certificate".  

  Foundation ("Part A") Advanced ("Part B")
Training 7 compulsory units

7 elective units

Two streams:

  • Stream 1: Private Trusts
  • Stream 2: Collective Investment Schemes / Retirement Schemes
Examination To be held around 2-3 weeks after the training courses To be held around 2-3 weeks after the training courses

 

For details, please refer to the HKTA website.

Below is the overview of the Trust Training Certificate ("TTC") Part A. 

  • For participants who wish to pursue TTC, they need to enrol into all seven(7) units and complete the Part A Examination.  The total course fee for Part A is HK$13,000.  Separate enrolment fee of HK$2,000 is required for taking Part A Examination.
  • For participants who would like to apply for Experienced Practitioner Exemption ("EPE"), he / she can enrol into Unit 6 by clicking the name of Unit 6 below.
  • For participants who would like to gain a solid understanding of the subject matters, he / she could choose to attend any unit(s) they are interested.

All the courses and examination will be held at the Hong Kong Securities and Investment Institute.

The first run of Part A TTC has been successfully completed in October 2018.  The next round of Part A TTC will be run between mid-January to March 2019.  Please see the table for the schedule.  

Enrolment:

  • Participants who wish to enrol into Part A, i.e. Unit 1 to 7, simply click the link named "Trust Training Certificate (TTC) Part A - Unit 1 to 7" in the first row of the table below. 
  • For participants who wish to enrol into the selected units, click the unit name and then choose "Apply Online" and "Select more". The system will consolidate the units chosen and payment will be made on the total course fee. 
Part / Unit  Part / Unit name

Course dates

All units of the training courses will be run from 6:00 -9:00 pm 

Module
Part A - Unit 1 to 7 Trust Training Certificate (TTC) Part A - Unit 1 to 7

Unit 1: Tuesday, 15 January 2019

Unit 2: Tuesday, 22 January 2019

Unit 3: Tuesday, 29 January  2019

Unit 4: Tuesday, 12 February 2019

Unit 5: Thursday, 28 February 2019

Unit 6: Tuesday, 12 March 2019

Unit 7: Tuesday, 26 March 2019

For the details of each unit, please refer to its respective course page.
 1 Introduction to Trusts

Tuesday, 15 January 2019

M1: Overview of Trusts

M2: Trustee's duties

M3: Liability, Variation and Termination

 2 Types of Trusts and When Appropriate

Tuesday, 22 January 2019

M4: Types of Trust and their uses

M5: Retention of control

 3 Administration and Management of Trusts Tuesday, 29 January 2019 M6: Administering Trusts
 4 Other Estate Planning Vehicles

Tuesday, 12 February 2019

M7: Other Estate planning / Succession vehicles

M8: Trust protection issues

 5 Trusts compared with Other Estate Planning Vehicles Thursday, 28 February 2019 M9: Trusts compared with other Estate planning vehicles
 6 Trusts and Compliance Tuesday, 12 March 2019 M10: Compliance, AML, Legislative rules and how they apply to trusts
 7 Trust Jurisdiction Comparison  Tuesday, 26 March 2019 M11: International comparison on Trusts
  Part A Examination

Date: Saturday, 13 April 2019

Time: 11:30 am - 1:00 pm

 

 

Chinese Golden & Silver Exchange Society (CGSE) 「金銀市場初級及高級證書」備試課程

The CGSE examination is in Chinese.  Therefore, all the information is in Chinese only.

金融市場瞬息萬變,對金融從業員的專業知識及操守要求愈來愈高,金銀業貿易場有見市場對行業專才的資歷水平要求日益提升,於二零一零年度推出「從業員註冊制度」。

有見及此,香港證券及投資學會與金銀業貿易場合辦「金銀市場初級及高級證書」備試課程,旨在幫助現職以及有志成為貴金屬從業員認識貴金屬市場的專業知識以及操守,從而將此推廣普及化,並成為專業貴金屬從業員的規範。

課程

時數

 

1. 香港金融市場和黃金市場的組成

內容概述香港金融市場、特別是黃金市場,包括全球黃金市場的組成和運作,黃金交易的基本認識等,針對內容為課程手冊中 單元一、單元二和單元五。

 3
 

2. 黃金價格波動和投資工具分析

內容概述影響金價的因素,包括主要的技術因素和圖表分析,並解釋黃金期貨和期權的運作,針對內容是課程手冊中的單元三和單元四。

 3
 

3. 黃金業務運作和管理

內容包括黃金業務的交易、結算和風險管理,並了解和認識就金銀業貿易場的組織、運作和註冊制度,針對內容是課程手冊中的單元六A和六B。

 3

 

Green Finance for Wealth and Asset Management (“WAM”) Professionals

 

 

Green Finance for Wealth and Asset Management (“WAM”) Professionals is a joint training programme offered by Hong Kong Quality Assurance Agency (“HKQAA”) and Hong Kong Securities and Investment (“HKSI”) Institute. 

This training aims to equip the WAM professionals with the knowhow in Green Finance, including its key features, latest development and management framework, so that they can be better prepared for the opportunities and challenges introduced by Green Finance.  In addition, the investment risks related to environmental and social impact as well as green washing can be managed with improved understanding of external review mechanisms which may be used as a risk management tool.

Participants who have successfully completed all the 5 modules (15 hours in total) with 80% or above attendance and obtained 70% of total scores in the examination (1.5 hours in total) will receive a testimonial to confirm their understanding of Green Finance.

Who should attend

  1. WAM professionals who promote financial products to investors
  2. Investment risk management specialists who help investors control the risks involved in investments
  3. Those who are interested to embark on their career in the Green Finance business

Participants who have successfully completed all 5 modules (15 hours in total) with 80% or above attendance and obtained 70% of total scores in the examination (1.5 hours in total) will receive a testimonial to confirm their understanding of Green Finance.

 

Training Program

Examination

Date

19, 21, 26 February, 5 & 7 March 2019

29 March 2019 (Friday)

Time

6:30pm – 9:30pm

6:30pm – 8:00pm

Language

Cantonese
(supplemented with English course materials)

English

Hours

SFC: 16.5 CPT hours; PWMA: 16.5 OPT hours

Venue

HKSI Institute Training Centre

Fee

HK$4,750 for HKSI Individual Members and Staff of Corporate Members

HK$8,500 for Non-HKSI Members

       

Licencing Examinations (LE)

Preparatory courses for the following papers

Paper 1 – Fundamentals of Securities and Futures Regulation

Key Learning Outcome

Learn the topics covered in the syllabus of LE Paper 1 and identify the key areas to focus when participants prepare for the examination.

Course Structure

  • 7 tutorial classes (3 hours each class)
  • 1 revision session (2 hours)

CPD/CPT Hours

  • SFC - 23 CPT hours
  • MPFA – 23 non-core CPD hours

Medium of Instruction

Cantonese, English or Putonghua (supplemented with Chinese or English materials)

 

Paper 7 – Financial Markets

Key Learning Outcome

Learn the topics covered in the syllabus of LE Paper 7 and identify the key areas to focus when participants prepare for the examination.

Course Structure

  • 5 tutorial classes (3 hours each class)
  • 1 revision session (2 hours)

CPD/CPT Hours

  • SFC - 17 CPT hours
  • MPFA – 17 non-core CPD hours

Medium of Instruction

Cantonese, English or Putonghua (supplemented with Chinese or English materials)

Paper 8 – Securities

Key Learning Outcome

Learn the topics covered in the syllabus of LE Paper 8 and identify the key areas to focus when participants prepare for the examination.

Course Structure

  • 7 tutorial classes (3 hours each class)
  • 1 revision session (2 hours)

CPD/CPT Hours

  • SFC - 23 CPT hours
  • MPFA – 23 non-core CPD hours

Medium of Instruction

Cantonese, English or Putonghua (supplemented with Chinese or English materials)

Paper 9 – Derivatives

Key Learning Outcome

Learn the topics covered in the syllabus of LE Paper 9 and identify the key areas to focus when participants prepare for the examination.

Course Structure

  • 4 tutorial classes (3 hours each class)
  • 1 revision session (2 hours)

CPD/CPT Hours

  • SFC - 14 CPT hours
  • MPFA – 14 non-core CPD hours

Medium of Instruction

Cantonese, English or Putonghua (supplemented with Chinese or English materials)

Joint Programmes

Working together with Hong Kong Exchanges and Clearing Limited (HKEx), we offer the following courses:

  • CCASS System Training Course 
  • DCASS System Training Course

For details of these two courses, please refer to the documents below.

Development