Licensing Examination for Securities & Futures (HKSI LE)
FAQ & Exam Resources
Exam Structure
The HKSI LE (Licensing Examination for Securities and Futures Intermediaries) is administered by the Hong Kong Securities and Investment Institute (HKSI). It is a mandatory qualification exam for individuals engaged in regulated activities under the Securities and Futures Ordinance.
| Paper | Subject | Questions | Pass Mark |
|---|---|---|---|
| Paper 1 | Fundamentals of Securities & Futures Regulation | 40 | 70% |
| Paper 2 | Securities Regulation | 40 | 70% |
| Paper 3 | Derivatives Regulation | 40 | 70% |
| Paper 5 | Corporate Finance Regulation | 40 | 70% |
| Paper 6 | Asset Management Regulation | 40 | 70% |
| Paper 7 | Financial Markets | 60 | 70% |
| Paper 8 | Securities | 40 | 70% |
| Paper 9 | Derivatives | 40 | 70% |
| Paper 11 | Corporate Finance | 40 | 70% |
| Paper 12 | Asset Management | 40 | 70% |
Registration Details
- 1.Register an account on the HKSI official website (www.hksi.org)
- 2.Select your exam date and time through the e-Booking system
- 3.Pay the exam fee (approximately HK$1,000 per paper)
- 4.Bring your identification documents and attend the exam on the scheduled date
FAQ
What is the HKSI LE exam?
The HKSI LE (Licensing Examination for Securities and Futures Intermediaries) is a qualifying exam administered by the Hong Kong Securities and Investment Institute. Anyone who wishes to engage in regulated activities under the Securities and Futures Ordinance must pass the relevant HKSI LE papers.
Which papers do I need to take?
It depends on the type of regulated activity you intend to carry out. Generally, those dealing in securities need to pass Papers 1, 7, and 8; those dealing in futures need Papers 1, 7, and 9. Please refer to the SFC Guidelines on Competence for details.
What is the passing score?
The passing mark for all papers is 70%. The exams are in multiple-choice format, with durations ranging from 1 to 2 hours depending on the paper.
How can I effectively prepare for the HKSI LE?
We recommend starting with the official HKSI study manuals, then practicing extensively with mock exam papers. Repeated practice helps you familiarize yourself with the exam format and key topics. If you need additional support, feel free to contact us via WhatsApp.
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