Regulated activities as defined by the Securities and Futures

https://www.sfc.hk/web/EN/regulatory-functions/intermediaries/licensing/guide-to-licence-application/regulated-activities.html

HKSI Licensing Examination (LE) for Securities and Futures Intermediaries

The LE Regulatory Papers (i.e. LE Papers 1 to 6) and Practical Papers (i.e. LE Papers 7 to 12) have been approved by the SFC as the Recognised Industry Qualifications and Local Regulatory Framework Papers in relation to the application for licences as Representatives and/or Responsible Officers for all regulated activities (RAs) except for Type 3 RA - Leveraged Foreign Exchange Trading under the "Guidelines on Competence".

• Language: both English and Chinese
• Questions type: multiple choice questions (MCQ)
• Pass Mark: 70% for each paper

Papers

1. Regulatory Papers

• Paper 1: Fundamentals of Securities and Futures Regulation

• Paper 2: Regulation of Securities

• Paper 3: Regulation of Derivatives

• Paper 4: Regulation of Credit Rating Services

• Paper 5: Regulation of Corporate Finance

• Paper 6: Regulation of Asset Management

2. Practical Paper (Can be exempted with 2 business/finance/accounting/economics courses taken)

https://www.sfc.hk/web/EN/assets/components/codes/files-current/web/guidelines/guidelines-on-competence/guidelines-on-competence.pdf

• Paper 7: Financial Market

• Paper 8 (Version 2.6): Securities (Mark-up version of updated syllabus) (Valid for LEs from 1 August 2018)

• Paper 9: Derivatives

• Paper 10: Credit Rating Services

• Paper 11: Corporate Finance

• Paper 12: Asset Management

3. Sponsor Paper