Appendix C to the Guidelines on Competence

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1 Appendix C to the Guidelines on Competence Table 1 Recognized Industry Qualifications and Local Regulatory Framework Papers by Regulated Activities (Responsible Officer) RA Country Recognized Industry Qualifications Local Regulatory Framework Papers 1, 8 Hong Australia UK US - NASD Series 23+ Series 9/10 2 Hong Australia Canada - CSI s Futures Licensing UK - SII(UK) I Level 3 in 3 Hong Examination Paper 2 - HKSI LE Papers 1 * +2 - HKSI LE Papers 1 * +3 Examination Paper 1 1

2 4 Hong Australia UK USA 5 Hong Australia Canada - CSI s Futures Licensing UK - HKSI LE Papers 1 * +2 - HKSI LE Papers 1 * + 3 2

3 6 Hong - HKSI LE Papers 7+11 UK - SII(UK) s in Corporate Finance US 9 Hong - HKSI LE Papers HKSI LE Papers 1 * +5 - HKSI LE Papers 1 * +6 Australia Markets (with Managed Investment elective) (for investment portfolios consist of securities only) UK US 10 Hong - HKSI LE Papers HKSI LE Papers 1 * +4 * Note: 1) Not required for a licensed representative applying to be a responsible officer. 2) There is no competence requirement for a Type 7 (providing automated trading services) regulated activity. 3

4 Table 2 Recognized Industry Qualifications and Local Regulatory Framework Papers by Regulated Activities (Representative) RA Country Recognized Industry Qualifications Local Regulatory Framework Papers 1, 8 Hong Australia UK US - NASD Series 7 2 Hong - Australia Canada - CSI s Futures Licensing UK 4

5 3 Hong 4 Hong Examination Paper 2 Trader s Representative Examination Paper 2 - Australia UK USA - NASD Series 7 Examination Paper 1 Trader s Representative Examination Paper 1 5

6 5 Hong Australia Canada - CSI s Futures Licensing UK 6 Hong - HKSI LE Papers 7+11 UK - SII(UK) s in Corporate Finance US - NASD Series 7 6

7 9 Hong - HKSI LE Papers 7+12 Australia Markets (with Managed Investment elective) (for investment portfolios consist of securities only) UK US - NASD Series 7 10 Hong - HKSI LE Papers 7+10 Note: 1) Qualifications and exams that are shaded are also applicable to responsible officer. 2) There is no competence requirement for a Type 7 (providing automated trading services) regulated activity. Key: CSI DPE HKSI JSDA LE NASD PDFM SIA SII(UK) VTC RA Type 1 Type 2 Type 3 Type 4 Type 5 Type 6 Type 7 Type 8 Type 9 Type 10 The Canadian Securities Institute (Canada) HKSI Diploma Programme Examination Hong Securities Institute Japan Securities Dealers Association (Japan) HKSI s Licensing Examination for Securities and Futures Intermediaries The National Association of Securities Dealers, Inc. (USA) HKSI Professional Diploma in Financial Markets The Securities Institute of Australia (Australia) Securities & Investment Institute (UK) Institute of Professional Education And Knowledge of the Vocational Training Council Regulated Activity Dealing in Securities Dealing in Futures Contracts Leveraged Foreign Exchange Trading Advising on Securities Advising on Futures Contracts Advising on Corporate Finance Providing Automated Trading Services Securities Margin Financing Asset Management Providing Credit Rating Services Last update: 1 June

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