Exam focus
HKSI LE Papers 1, 5, 7, 11, 15, 16, and 17 depending on Type 6 role and work type.
Who this helps
- - Corporate finance advisers
- - Sponsor principal candidates
- - Sponsor representatives
- - Capital markets compliance teams
Route map
- 1. Confirm whether the activity is ordinary corporate finance advice, sponsor work, takeovers/share buy-backs work, or a combination.
- 2. For Type 6 representatives, HKSI maps Paper 1 plus Papers 7 and 11 as the core route.
- 3. For Type 6 responsible officers, HKSI maps Papers 1 and 5 plus Papers 7 and 11.
- 4. Sponsor principals and sponsor representatives can require additional Paper 15 or Paper 16, and takeovers/share buy-backs work can add Paper 17.
Licensing context
- - Sponsor work is a narrower, higher-scrutiny Type 6 workflow than generic corporate finance advice.
- - Capital raising may also raise Type 1, fund marketing, or US broker-dealer style questions depending on facts.
- - The competence narrative should match deals, supervision, transaction type, and public-market responsibilities.
Study focus
- - Study the difference between corporate finance advice, sponsor work, and takeover/share buy-back work before choosing papers.
- - Build a transaction lifecycle map: mandate, due diligence, client classification, marketing, execution, disclosure, and conflicts.
- - Responsible officer and sponsor candidates should prepare evidence of deal experience and supervision capability.
What to verify before relying on the route
- - Whether the person is a representative, responsible officer, sponsor principal, sponsor representative, or takeovers adviser.
- - Whether compensation, placement, or introduction work also creates dealing/brokerage analysis.
- - Whether exemptions or previous experience affect the paper map.
Application tie-in
- - The people file should include transaction experience matched to the precise Type 6 role.
- - The corporate application should distinguish sponsor work and takeovers work from ordinary advisory mandates.
- - Policies should cover conflicts, due diligence, communications, deal approval, and recordkeeping.
Common mistakes
- - Treating Type 6 as one exam route for every corporate finance role.
- - Forgetting Paper 15, 16, or 17 when sponsor or takeovers work is planned.
- - Ignoring dealing or placement questions around capital raising.
Paper and module study maps
- - HKSI LE Paper 5 study map for Type 6 responsible officers: Regulation of corporate finance paper for Type 6 responsible officer routes.
- - HKSI LE Paper 11 study map for corporate finance: Corporate finance practical paper used with Paper 7 for Type 6 recognised industry qualification evidence.
- - HKSI LE Paper 15 study map for sponsor principals: Additional competence paper for Type 6 individuals wishing to engage in sponsor work as principals.
- - HKSI LE Paper 16 study map for sponsor representatives: Additional competence paper for Type 6 individuals engaging in sponsor work as representatives or relevant individuals.
- - HKSI LE Paper 17 study map for takeovers and share buy-backs: Additional competence paper for Type 6 individuals engaging in or advising on takeovers and share buy-back code matters.
Disclaimer
Information on LicenseCompare is for general educational purposes only and does not constitute legal, regulatory, financial, tax, investment, or professional advice. Licensing requirements depend on facts and change over time. Always consult official regulator materials and qualified professional advisers.