Qualifications Roadmap

Home Qualification

Our Qualifications Roadmap provides a guide to competence levels and appropriate qualifications.

Trading

Level	Examinations
Foundation Level	LE Paper 1 and LE Paper 7 and/or PRC Securities Regulations Examination
Qualifying Level	LE Paper 8 and/or LE Paper 9 and/or GSQE Paper 1
Specialist Level	LE Paper 2 and/or LE Paper 3 and/or GSQE Paper 2
Professional Level	CIIA

Note:

The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute, except GSQE Paper 1.
Candidate who reached Specialist Level and above can apply for Ordinary Membership (MHKSI) of the HKSI Institute, except GSQE Paper 2. Specialist Level is not a must for candidate who reached Qualifying Level to pursue qualifications in Professional Level.
PRC Securities Regulation Examination is only for candidate who intend to conduct relevant business in Mainland China. It is not a must for candidate who pursue qualifications in higher levels.

Investment Analysis

Level	Examinations
Foundation Level	LE Paper 1 and LE Paper 7 and/or PRC Securities Regulations Examination
Qualifying Level	LE Paper 8 and/or LE Paper 9
Specialist Level	LE Paper 2 and/or LE Paper 3
Professional Level	CIIA

Note:

The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute.
Candidate who reached Specialist Level and above can apply for Ordinary Membership (MHKSI) of the HKSI Institute. Specialist Level is not a must for candidate who reached Qualifying Level to pursue qualifications in Professional Level.
PRC Securities Regulation Examination is only for candidate who intend to conduct relevant business in Mainland China. It is not a must for candidate who pursue qualifications in higher levels.

Asset Management

Level	Examinations
Foundation Level	LE Paper 1 and LE Paper 7 and/or PRC Securities Regulations Examination
Qualifying Level	LE Paper 12 and/or MPF Intermediaries Examination
Specialist Level	LE Paper 6
Professional Level	CIIA

Note:

The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute, except MPF Intermediaries Examination.
Candidate who reached Specialist Level and above can apply for Ordinary Membership (MHKSI) of the HKSI Institute. Specialist Level is not a must for candidate who reached Qualifying Level to pursue qualifications in Professional Level.
PRC Securities Regulation Examination is only for candidate who intend to conduct relevant business in Mainland China. It is not a must for candidate who pursue qualifications in higher levels.

Investment Advisory

Level	Examinations
Foundation Level	LE Paper 1 and LE Paper 7 and/or PRC Securities Regulations Examination
Qualifying Level	LE Paper 8 and/or LE Paper 9 and/or MPF Intermediaries Examination
Specialist Level	LE Paper 2 and/or LE Paper 3

Note:

The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute, except MPF Intermediaries Examination.
Candidate who reached Specialist Level and above can apply for Ordinary Membership (MHKSI) of the HKSI Institute.
PRC Securities Regulation Examination is only for candidate who intend to conduct relevant business in Mainland China. It is not a must for candidate who pursue qualifications in higher levels.

Wealth Management

Level	Examinations
Foundation Level	LE Paper 1 and LE Paper 7 and/or PRC Securities Regulations Examination
Qualifying Level	LE Paper 8 and/or LE Paper 9 and/or MPF Intermediaries Examination
Specialist Level	LE Paper 2 and/or LE Paper 3
Professional Level	CIWM	CPWP

Note:

The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute, except MPF Intermediaries Examination.
Candidate who reached Specialist Level and above can apply for Ordinary Membership (MHKSI) of the HKSI Institute. Specialist Level is not a must for candidate who reached Qualifying Level to pursue qualifications in Advance Level and/or Professional Level.
PRC Securities Regulation Examination is only for candidate who intend to conduct relevant business in Mainland China. It is not a must for candidate who pursue qualifications in higher levels.

Corporate Finance

Level	Examinations
Foundation Level	LE Paper 1 and LE Paper 7 and/or PRC Securities Regulations Examination
Qualifying Level	LE Paper 11 and/or LE Paper 16 and/or LE Paper 17
Specialist Level	LE Paper 5 and/or LE Paper 15

Note:

The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute.
Candidate who reached Specialist Level and above can apply for Ordinary Membership (MHKSI) of the HKSI Institute.
PRC Securities Regulation Examination is only for candidate who intend to conduct relevant business in Mainland China. It is not a must for candidate who pursue qualifications in higher levels.

Credit Ratings

Note:

The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.
Candidate who reached Qualifying Level can apply for Associate Membership (AHKSI) of the HKSI Institute.
Candidate who reached Specialist Level and above can apply for Ordinary Membership (MHKSI) of the HKSI Institute.

Operations

Level	Examinations
Foundation Level	LE Paper 1 or PRC Securities Regulations Examination
Qualifying Level	IOC

Level

Examinations

Foundation Level

LE Paper 1 or

Qualifying Level

IOC

Note:

The HKSI Institute's Qualifications Roadmap is only a recommendation for candidate to build their capacity in the financial service industry, but not a designated pathway. Candidate should refer to the entry requirement and examination structure of each examinations/qualifications.

Qualification