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Examination Regulations

Compliance and Consequences

  • Compliance Responsibilities: Candidates are solely responsible for adhering to all examination regulations at all times. The Hong Kong Securities and Investment Institute (HKSI Institute) will NOT accept claims of misinformation by others (including invigilation staff) as an excuse to avoid disciplinary actions for any breach of the regulations.
  • Immediate Termination and Disqualification: Failure to comply with ANY of these examination regulations may result in IMMEDIATE TERMINATION of the examination and/or disqualification from taking any HKSI Institute examinations. 
  • Result Release and Suspension: Disqualified candidates will not receive the examination results and will be suspended from enrolling in or taking any HKSI Institute examinations until the entire process of handling misconduct cases is completed.

General Rules 

  1. Examination Check-in:
    • Candidates must arrive at the assigned examination centre by the scheduled start time.
    • No latecomers will be admitted after 30 minutes of the examination start time, and they will be marked as Absent.
  2. Personal Belongings:
    • All personal belongings will be examined, and headwear, except for religious or cultural purposes, is NOT permitted during the examination.
    • Only specific items (Hong Kong identity cards/passports, authorised electronic calculators, draft paper/noteboard and pencil/pen provided by the examination centre) are allowed on the desk.
  3. Electronic/Communication Devices:
    • Candidates must turn off all electronic/communication devices (including phones and watches) before entering the examination centre/room.
    • Devices must remain off throughout the examination.
  4. Invigilator’s Instructions:
    • Once admitted, candidates must follow the invigilator’s instructions until dismissed.
    • Invigilators will make announcements in English and/or Cantonese. It is the responsibility of the candidates to manage any linguistic difficulties that they may encounter.
  5. Completion and Return:
    • After completing the examination, candidates must return all examination materials. Candidates may leave the examination centre with the invigilator’s approval.
  6. Issue Notification:
    • Candidates encountering issues during the examination must notify the invigilator immediately for assistance.
    • Notifications received AFTER the examination will NOT be considered.
  7. Intellectual Property Rights:
    • All examination materials are the exclusive property and ownership of the HKSI Institute and are strictly confidential.
    • Candidates acknowledge HKSI Institute's sole ownership and exclusive intellectual property rights and non-disclosure of examination questions by taking the examination.
    • Infringement may result in appropriate actions, and candidates will be liable for any losses, damages, and costs incurred by the Institute.

Proof of Identity 

  • On the day of the examination, candidates must bring their original and valid identification document, such as a Hong Kong identity card, passport, or other formal travel documents with a photo.
  • The English name on the document must match the name in the HKSI Institute records (candidates can log in to the Online Portal to confirm their English name).
  • Paper-based Examination candidates must also bring their Admission Form printed on a piece of white A4 paper that was originally blank on both sides.
  • If the required document is NOT PROVIDED or the candidate’s identity cannot be verified, they will not be allowed to take the examination.  
  1. Verification Process
    • If there are doubts about a candidate’s identity, the invigilator(s) will take photographs of the candidate and/or photocopies of the candidate’s identification document.
    • Candidate must remove glasses, hats, or masks to ensure their full face is visible. 
    • The photographs and copies will be kept for further investigation. 
    • If the candidate’s true identity cannot be confirmed, their examination results may be invalidated. 
    • Refusal to allow the invigilators to take photographs or photocopies of identification documents will result in disqualification and immediate removal from the examination centre.
  2. Impersonation
    • Impersonation in a serious offence.
    • Any incidents will be reported to the police, and offenders may face prosecution.

Use of Electronic Calculators

  • An onscreen calculator is provided for specific examinations that require one.
  • Candidates may bring electronic calculators into the examination centre.
  • Electronic calculators must be operated silently and without any print-out or graphic/word display functions.
  • Calculators using dot-matrix technology in the main display are strictly prohibited.
  • A list of approved models of electronic calculators is published on the HKSI Institute website.

Misconduct 

    1. Definition of Misconduct:
      • Misconduct refers to any failure to comply with the latest examination regulations published by the HKSI Institute.  
      • Any alleged misconduct cases will be investigated by the HKSI Institute and may be reported to the Examinations Disciplinary Panel and/or Appeal Panel for decision-making.
    2. Actions in Case of Misconduct: 
      • Issuing a warning letter to the candidate concerned.
      • Disqualifying the candidate from the examination and withholding the release of their examination results.
      • Suspending the candidate from enrolling and/or taking any of the HKSI Institute’s examinations for a period ranging from six months to five years.
      • Taking any other disciplinary action(s) deemed necessary by the Institute.
      • During the suspension period, any examination enrolled by the candidate will not be re-schedule, and all fees paid will be non-transferrable and non-refundable. 
      • Reporting and Record Keeping
    3. Examples of Misconduct (not limited to):
i. engaging in conversations with anyone other than the invigilator(s);
ii. taking photographs, video-recordings or audio-recordings inside the examination centre at any time or during the examination session;
iii. writing or attaching any information on the identification document, hands, or other objects;
iv. starting to work on the examination materials before instructed to do so, or continuing to write/erase after being told to stop;
v. leaving any communication/electronic devices (including but not limited to mobile phone, electronic devices with text/graphics scanning functions; photo-taking/video-recording/audio-recording functions, data, text or image storage/display/audio play-back/video play-back functions, input/out and/or transmission of information) on throughout the examination session unnoticed;
vi. reading aloud the content of the examination question;
vii. having unauthorised materials, including but not limited to documents, textbooks, notes, dictionaries, tablets, electronic/communication devices, food, drink, and any other study materials on the desk or that are in candidate’s possession during the examination session;
viii. glancing or looking at another candidate’s materials or computer screen;
ix. accessing, possessing, or using any unauthorised devices, such as communication/electronic device not approved by the HKSI Institute or has any feature(s) not in the section “Use of Electronic Calculators” above, at any time during the examination session, including convenience break;
x. copying from or using notes, books or electronic devices during the examination session;
xi. copying from the work of others, or using any written materials provided by others;
xii. allowing other candidates to copy from their own writing whatsoever;
xiii. sharing examination materials and any kind (including but not limited to stationery and electronic calculators) between candidates during the examination session;
xiv. unauthorised possession of examination questions belonging to HKSI Institute;
xv. copying of any examination materials or information, in any manner or media;
xvi. attempting to take away examination materials from the examination centre;
xvii. causing a distraction or disturbance before the examination and/or inside the examination centre;
xviii. vandalising examination materials or examination centre properties;
xix. taking the examination on behalf of another person or allowing another person to take the examination on their behalf;
xx. altering or creating results and/or certificate documents and/or results records;
xxi. interference with the examination system resulting in unauthorised access, security circumvention, data manipulation and/or malware installation;
xxii. unauthorised possession of any examination materials or information, in any manner or media, and distributing or disclosing any examination materials or information to any parties, with or without profit making purposes;
xxiii. consuming food or drink, smoking or littering inside the examination centre;
xxiv. leaving the examination centre or monitoring device camera without permission;
xxv. using threatening, abusive or insulting language and behaviours towards the invigilation staff or other candidates;
xxvi. disregarding instructions contained in the warning letter issued by the HKSI Institute regarding previous misconduct by the candidate during the examination(s);and
xxvii. disregarding any latest examination regulations published by the HKSI Institute.

Time Reference:

  • All the times mentioned in these examination regulations refer to Hong Kong standard time as announced by the Hong Kong Observatory (http://www.hko.gov.hk/contente.htm).

Decision Authority: 

  • The decision of the HKSI Institute shall be final on all matters concerning the interpretation of the examination regulations. 
  • If there are discrepancies or inconsistencies between the latest examination regulations and any other document(s) published by the HKSI Institute, the latest examination regulations will apply and prevail.

Language Versions:

  • In case of discrepancies or inconsistencies between the English and Chinese versions of the latest examination regulations, the English version will apply and prevail.
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