[{"data":1,"prerenderedAt":-1},["ShallowReactive",2],{"detail-sidebar-cat-0-en-105":3,"doc-seo-393961-105":59,"doc-detail-393961-en":130},{"code":4,"msg":5,"data":6},0,"success",[7,13,18,23,28,33,38,43,48,51,55],{"id":8,"doc_module":4,"doc_module_name":9,"category_name":10,"show_sort_weight":11,"slug":12},1,"Document","Story & Novel",90,"story-novel",{"id":14,"doc_module":4,"doc_module_name":9,"category_name":15,"show_sort_weight":16,"slug":17},2,"Literature",80,"literature",{"id":19,"doc_module":4,"doc_module_name":9,"category_name":20,"show_sort_weight":21,"slug":22},4,"Exam",70,"exam",{"id":24,"doc_module":4,"doc_module_name":9,"category_name":25,"show_sort_weight":26,"slug":27},5,"Comic",60,"comic",{"id":29,"doc_module":4,"doc_module_name":9,"category_name":30,"show_sort_weight":31,"slug":32},6,"Technology",50,"technology",{"id":34,"doc_module":4,"doc_module_name":9,"category_name":35,"show_sort_weight":36,"slug":37},7,"Healthcare",40,"healthcare",{"id":39,"doc_module":4,"doc_module_name":9,"category_name":40,"show_sort_weight":41,"slug":42},8,"Research & Report",30,"research-report",{"id":44,"doc_module":4,"doc_module_name":9,"category_name":45,"show_sort_weight":46,"slug":47},9,"Religion & Spirituality",20,"religion-spirituality",{"id":46,"doc_module":4,"doc_module_name":9,"category_name":49,"show_sort_weight":46,"slug":50},"World Cup","world-cup",{"id":52,"doc_module":4,"doc_module_name":9,"category_name":53,"show_sort_weight":52,"slug":54},10,"Lifestyle","lifestyle",{"id":56,"doc_module":4,"doc_module_name":9,"category_name":57,"show_sort_weight":24,"slug":58},19,"General","general",{"code":4,"msg":60,"data":61},"ok",{"site_id":62,"language":63,"slug":64,"title":65,"keywords":66,"description":67,"schema_data":68,"social_meta":123,"head_meta":125,"extra_data":127,"updated_unix":129},105,"en","test-of-competence-for-responsible-officer-eligibility-options","Test of Competence for Responsible Officer - Eligibility Options","","Structured eligibility criteria for the “Test of Competence” covering academic/industry qualifications, relevant industry experience, and management experience requirements. It defines option-based thresholds for a Responsible Officer and a Representative, specifies passes for a local regulatory framework paper, and limits recency of required qualifications and papers before application. It also maps Regulated Activity Type 9 to country-specific recognized industry qualifications and local regulatory framework papers, including Hong Kong, Australia, Japan, UK, and US, with definitions and cross-references for exemptions and applicability.",{"@graph":69,"@context":122},[70,84,105],{"@type":71,"itemListElement":72},"BreadcrumbList",[73,77,79,82],{"item":74,"name":75,"@type":76,"position":8},"https://docshare.wps.com","Home","ListItem",{"item":78,"name":9,"@type":76,"position":14},"https://docshare.wps.com/document/",{"item":80,"name":20,"@type":76,"position":81},"https://docshare.wps.com/document/exam/",3,{"item":83,"name":65,"@type":76,"position":19},"https://docshare.wps.com/document/test-of-competence-for-responsible-officer-eligibility-options/393961/",{"url":83,"name":65,"@type":85,"image":86,"author":91,"headline":65,"publisher":94,"fileFormat":97,"inLanguage":63,"description":67,"dateModified":98,"datePublished":99,"encodingFormat":97,"isAccessibleForFree":100,"interactionStatistic":101},"DigitalDocument",{"url":87,"@type":88,"width":89,"height":90},"https://docshare.wps.com/thumbnails/test-of-competence-for-responsible-officer-eligibility-options/393961.png","ImageObject",300,407,{"name":92,"@type":93},"Bintang","Person",{"url":74,"name":95,"@type":96},"DocShare","Organization","application/pdf","2026-10-20","2026-09-26",true,{"@type":102,"interactionType":103,"userInteractionCount":24},"InteractionCounter",{"@type":104},"ViewAction",{"@type":106,"mainEntity":107},"FAQPage",[108,114,118],{"name":109,"@type":110,"acceptedAnswer":111},"What academic or professional qualification is required for a Responsible Officer?","Question",{"text":112,"@type":113},"A Responsible Officer must meet one of the listed academic/industry qualification routes, including a designated-field degree, an alternative degree with required course passes, internationally recognized professional qualifications, or recognized industry qualifications.","Answer",{"name":115,"@type":110,"acceptedAnswer":116},"What experience thresholds are required for the Responsible Officer options?",{"text":117,"@type":113},"The document specifies different relevant industry experience ranges depending on the option selected (for example, at least 3 years over the past 6 years, or at least 8 years over the past 11 years), along with a fixed management experience requirement.",{"name":119,"@type":110,"acceptedAnswer":120},"Which recognized industry qualifications and local regulatory framework papers apply to Regulated Activity Type 9 in Hong Kong?",{"text":121,"@type":113},"For Type 9 in Hong Kong, the document lists HKSI Diploma Programme Examination papers, HKSI Licensing Examination papers, and HKSI Professional Diploma in Financial Markets modules for recognized industry qualifications, and separate HKSI local regulatory framework papers for the required papers.","https://schema.org",{"og:url":83,"og:type":124,"og:title":65,"og:site_name":95,"og:description":67},"article",{"robots":126,"canonical":83},"index,follow",{"doc_id":128,"site_id":62},393961,1791504794,{"code":4,"msg":5,"data":131},{"doc_id":128,"user_id":132,"nickname":92,"user_avatar":133,"doc_module":4,"category_id":19,"category_name":20,"doc_title":65,"doc_description":67,"doc_content":134,"file_id":135,"file_url":136,"file_type":137,"file_size":138,"view_count":24,"is_deleted":4,"is_public":8,"is_downloadable":8,"audit_status":8,"page_count":81,"language":139,"language_code":63,"site_id":62,"html_lang":63,"table_of_contents":140,"faqs":141,"seo_title":142,"seo_description":67,"update_tm":143,"read_time":39,"preview_page_count":4},962085564381,"https://ap-avatar.wpscdn.com/davatar_6f874abed73319feea01a86fa6f0fab8","Test of Competence for Responsible Officer  \n\n|  | Option 1 | Option 2 | Option 3 |\n| --- | --- | --- | --- |\n| Academic / industry qualification | 􀁸 Degree in the designated field 1; or\u003Cbr>􀁸 Other degree (with passes in at least two courses in the designated fields 1); or\u003Cbr>􀁸 Professional qualifications2; or\u003Cbr>􀁸 Recognized industry qualification3. | Passes in Chin/Eng + Maths in HKCEE\u003Cbr>or equivalent4 | - |\n| Relevant industry experience5 | At least 3 yrs over past 6 yrs | At least 5 yrs over past 8 yrs | At least 8 yrs over past 11 yrs |\n| Management experience | 2 yrs | 2 yrs | 2 yrs |\n| Local regulatory framework paper3 | Pass | Pass | Pass |\n\nTest of Competence for Representative6  \n\n|  | Option 1 | Option 2 |  | Option 3 |  |\n| --- | --- | --- | --- | --- | --- |\n| Academic / qualification | 􀁸 Degree in the designated field 1; or\u003Cbr>􀁸 Other degree (with passes in at least two courses in the designated fields1); or\u003Cbr>􀁸 Professional qualifications2. | Passes in Chin/Eng +\u003Cbr>Maths in HKCEE or equivalent4 |  | - |  |\n| Relevant industry experience5 | - | At least 2\u003Cbr>yrs over\u003Cbr>past 5 yrs | - | At least 5\u003Cbr>yrs over\u003Cbr>past 8 yrs | At least 2\u003Cbr>yrs over\u003Cbr>past 5 yrs |\n| Recognized industry qualification3 | - | - | Pass | - | Pass |\n| Local regulatory framework paper3 | Pass | Pass | Pass | Pass | Pass |\n\n1. “Designated fields” refer to Accounting, Business Administration, Economics, Finance and Law.  \n2. Internationally recognized professional qualifications in Law, Accounting or Finance. Internationally recognized professional qualifications in Finance include Chartered Financial Analyst (“CFA”), Certified International Investment Analyst (“CIIA®”) and Certified Financial Planner (“CFP”) .  \n3. The recognized industry qualification and the local regulatory framework paper must not be completed more than 3 years prior to the date of application. Applicant may apply for exemption if he satisfies the exemption criteria as set out in Appendices D and E of these Guidelines.  \n4. All high school public examinations (such as university entry examinations) will be recognized as equivalent to HKCEE.  \n5. In assessing the relevance of an individual’s experience, the SFC or HKMA will consider the role and functions to be undertaken by the applicant and whether the applicant possesses the recognized industry qualifications. Experience gained in Hong Kong or elsewhere that is closely related to the functions to be performed will be recognized.  \n6. A representative engaging in a Type 3 (leveraged foreign exchange trading) regulated activity who handles discretionary account activities can only go for option 1 or 2. Furthermore, he has to obtain additional 3 years’ direct foreign exchange trading experience in the inter-bank foreign exchange market or currency futures market, or its equivalent over the past 6 years.  \nRecognized Industry Qualifications and Local Regulatory Framework Papers versus Regulated Activities (Responsible Officer)  \n\n| RA | Country | Recognized Industry Qualifications | Local Regulatory Framework papers |\n| --- | --- | --- | --- |\n| 9 | Hong Kong | - HKSI DPE Papers 1+3\u003Cbr>- HKSI LE Papers 7+12\u003Cbr>- HKSI PDFM Modules 1+2+3+6+7 | - HKSI DPE Paper 2\u003Cbr>- HKSI LE Papers 1*+6\u003Cbr>- HKSI PDFM Modules 4+5 |\n|  | Australia | - SIA’s Diploma of Financial Services (Financial Planning)\u003Cbr>- SIA’s Diploma of Financial Services (Elective Stream A or B)\u003Cbr>- SIA’s Diploma of Financial Markets (with Managed Investment elective) |  |\n|  | Japan | - JSDA’s Qualification Examination for Class-1 Sales Representatives (for investment portfolios consist of securities only) |  |\n|  | UK | - SII(UK) Level 3 Certificate in Investments (Investment Management)\u003Cbr>- SII(UK)’s Investment Advice Certificate |  |\n|  | US | - NASD Series 24\u003Cbr>NASD Series 23 + Series 9/10 |  |\n\nNote: *Not required for a licensed representative applying to be a responsible officer.  \nRecognized Industry Qualifications and Local Regulatory Framework Pa","cbCaij7QaISnZN1T","https://ap.wps.com/l/cbCaij7QaISnZN1T","pdf",189709,"English","# Test of Competence for Responsible Officer\n## Eligibility options and required experience\n# Test of Competence for Representative\n## Eligibility options and recognized qualifications\n# Recognized Industry Qualifications vs Regulated Activities (Responsible Officer)\n## Type 9 mapping by country\n# Recognized Industry Qualifications vs Regulated Activities (Representative)\n## Type 9 mapping by country\n# Key terms and code definitions","[{\"question\":\"What academic or professional qualification is required for a Responsible Officer?\",\"answer\":\"A Responsible Officer must meet one of the listed academic/industry qualification routes, including a designated-field degree, an alternative degree with required course passes, internationally recognized professional qualifications, or recognized industry qualifications.\"},{\"question\":\"What experience thresholds are required for the Responsible Officer options?\",\"answer\":\"The document specifies different relevant industry experience ranges depending on the option selected (for example, at least 3 years over the past 6 years, or at least 8 years over the past 11 years), along with a fixed management experience requirement.\"},{\"question\":\"Which recognized industry qualifications and local regulatory framework papers apply to Regulated Activity Type 9 in Hong Kong?\",\"answer\":\"For Type 9 in Hong Kong, the document lists HKSI Diploma Programme Examination papers, HKSI Licensing Examination papers, and HKSI Professional Diploma in Financial Markets modules for recognized industry qualifications, and separate HKSI local regulatory framework papers for the required papers.\"}]","Test of Competence for Responsible Officer - Eligibility Options | PDF",1790396827]