Policies and Procedures

Policies and Procedures for CPT Training Courses and Events

The policies and procedures below apply to those training courses and events that are qualified for CPT/CPD/OPT hours recognised by:

  • Securities and Futures Commission (SFC) - CPT hours
  • Private Wealth Management Association (PWMA) - OPT hours
  • Insurance Authority (IA) - CPD hours
  • Mandatory Provident Fund Schemes Authority (MPFA) - core and non-core CPD hours
  • Hong Kong Law Society (HK Law Society) - CPD hours

A - Enrolment

  1. Participants can enrol for training courses/events via the HKSI Institute Online Portal.
  2. Participants submitting enrolments via hardcopy forms will be charged an administration fee. For details of fees, please refer to the Fees Schedule.
  3. Participants will receive an “eConfirmation of Enrolment and Payment” when the enrolment and payment are successfully processed. The receipt is available via the HKSI Institute Online Portal under “Receipt”.
  4. Participants can view the enrolled activities via the HKSI Institute Online Portal under “Upcoming Activity”.
  5. Participants will receive an eReminder at least THREE (3) working days before the training course/event with the detailed instruction about the training course/event.
  6. Participants CANNOT transfer to another training course/event or transfer the enrolment to another person.

B - Cancellation and rescheduling of training course/event

  1. In the event of bad weather, please refer to “Bad Weather Arrangement” for details.
  2. The HKSI Institute reserves the right to change or cancel any of its training courses/events. The HKSI Institute will notify the participants via email prior to the start of the event/training about cancellation or rescheduling arrangements.
  3. For cancelled training courses/events, the HKSI Institute will fully refund the training course/event fee paid for as stated in paragraphs 16 & 17.
  4. For rescheduled training courses/events, the HKSI Institute will transfer the participants to the training course/event on rescheduled dates. If participants are not able to attend the training course/event on rescheduled dates, the HKSI Institute will fully refund the event/training fees paid as stated in paragraphs 16 & 17.
  5. eCredit will be reissued if it is used for cancelled training courses/events or where the participants are not able to attend the training course/event on rescheduled dates. Please refer to the terms and conditions of each eCredit for details.

C - Withdrawal

  1. Participants may withdraw from enrolled training courses/events up to FOUR (4) working days BEFORE the date of the respective training course/event via the HKSI Institute Online Portal. Withdrawal does not apply to eCourses, eSeminars and certain training courses/events where indicated.
  2. Withdrawal records are shown under “Upcoming Activity” in the HKSI Institute Online Portal until the date of the training course/event.
  3. The HKSI Institute will charge a withdrawal fee of HK$100 or 40% of the training course/event fee, whichever is higher.
  4. Any eCredit used for withdrawn training courses/events will not be reissued.

D - Refund

  1. The HKSI Institute will refund to participants within 28 working days:
    i) the training course/event fee less withdrawal fee after the participants have submitted the withdrawal request via the HKSI Institute Online Portal; or
    ii) the full training course/event fee after the participants received the notification of cancellation; or
    iii) the full training course/event fee after the participants have confirmed that they are unable to attend the rescheduled training course/event.
  2. The refund will be payable in Hong Kong dollars via the following methods:

    Payments made via Refund via
    Cash / EPS / PayPal Cheque
    VISA Card / MasterCard / American Express / Union Pay The same credit card account. Where the credit card is no longer valid, the HKSI Institute will refund via cheque.

E - Attendance & Completion

  1. Participants are required to attend the entire training course/event, including the question and answer session.
  2. Participants are granted CPT/CPD/OPT hours according to their attendance records.
  3. Participants have to present the assigned QR code and/or a valid photo identification document for clock in and out procedures. The HKSI Institute has the right to deny any participant who cannot provide the required valid QR code and/or the photo identification document from attending the training course/event.
  4. NO or reduced CPT/CPD/OPT hour(s) will be given to participants who are late or absent from the classroom format of the training course/event based on the duration shown in the following table unless otherwise specified:

    CPT/CPD/OPT recognised by the regulatory bodies Late or Absent (Note 1) from the training course/event (excluding scheduled breaks) in total for MORE THAN
    SFC: CPT
    PWMA: OPT
    IA: CPD (Note 2)
    MPFA: non-core CPD
    30 minutes (Note 3)
    MPFA: core CPD 15 minutes
    HK Law Society: CPD 10 minutes
    Note 1: Participants, who are not in the classroom during the session without the instructor’s permission and exceed the duration indicated in this table, will be deemed as absent from the training course/event.

    Note 2: For IA CPD training course, ONE CPD hour will be deducted if the participants arrive late for over 15 minutes but not more than 30 minutes after the start of the training course.

    Note 3: For training course/event where the duration is 60 minutes, the HKSI Institute will grant 0.5 CPT/CPD/OPT if participants are late for more than 15 minutes but less than 30 minutes.
     
  5. The HKSI Institute will conduct regular attendance check throughout the training course/event. We reserve the right to ask the participants to present a valid photo identification document for these checks.
  6. The HKSI Institute will grant CPT/OPT hours for participants completing eLearning who have met the following THREE requirements:
    i) Completed the entire eLearning within 90 days after enrolment; and
    ii) Total learning time spent should be AT LEAST the minimum learning duration stated in the eLearning; and
    iii) Achieved the indicated passing score in the course-end test
  7. If the eLearning participants are unable to meet the requirements as stated in paragraph 23, they are required to re-enrol and pay for the eLearning again via the HKSI Institute Online Portal.
  8. Unless otherwise specified, participants can retrieve their attendance record via the HKSI Institute Online Portal, under “Record” within TWO (2) working days after completing the training course/event and eLearning.
  9. Each participant’s employer may have different policy and/or criteria in recognition of CPT/CPD/OPT requirements to which the training course/event may lead. Although the CPT bearing training courses/events organised by HKSI Institute, both classroom and eLearning, can fulfil SFC, PWMA, IA, MPFA requirements, it is a matter of the discretion of the participant’s employer on recognition of any qualifications to which the training course/event may lead. Participants are responsible for confirming and checking with their employer and/or responsible person on whether the training course/event they attend is of appropriate standard and relevance to maintain and enhance the technical knowledge/professional expertise and would meet their CPT/CPD/OPT requirement.

F - Discipline of Classroom Training course/event

  1. Participants are required to keep the venue clean and tidy.
  2. Mobile phones, tablets, computers and other electronic communication devices should be set to silent mode or turned off throughout the training course/event.
  3. The instructor, chairperson or HKSI Institute staff reserves the right to ask misbehaving participants to leave the venue. For these cases, we will not refund the fee paid nor grant CPT/CPD/OPT hour(s).
  4. In case of emergency (e.g. fire), participants should stay calm and follow the instruction given by the instructor, chairperson or the HKSI Institute staff to leave the venue.

G - Copyright

  1. All materials distributed during the training course/event or eLearning, in whole or in part, should not be reproduced, copied or transmitted in any format or by any means, electronic or mechanical, including photocopying, recording, or by any information storage and retrieval system, without prior written permission from the HKSI Institute. The unauthorised duplication of the materials is a violation of the HKSI Institute's copyright policy.
  2. No photo taking, audio or video recording by participants is allowed during the training course/event.
  3. By attending the HKSI Institute’s classroom training course/event, the participant is deemed to agree that portions of the session may be recorded in video, audio, captured in still photographs, and/or digital photographs. The HKSI Institute reserves the right and permission to use in perpetuity your photographic images, voice, and/or testimonial(s), for the purpose of advertising and publicising the HKSI Institute's service offerings. The HKSI Institute owns all rights, title and interest, including intellectual property rights, in any audio, video, and/or photographs captured during the training course/event.

H - Feedback

  1. Participants are strongly encouraged to provide feedback on our training course/event by completing the online evaluation form.

If you have any questions, please contact us by phone (31206100) or email (info@hksi.org)

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