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Securities and Futures Commission

HKSI LE Paper 6 study map for Type 9 responsible officers

How HKSI LE Paper 6 fits Type 9 responsible officer competence evidence, asset-management supervision, investment-process authority, and SFC application readiness.

Exam focus

Regulation of asset management paper for responsible officer routes under SFC Type 9 asset management.

Who this helps

  • - Type 9 responsible officer candidates
  • - Fund manager founders
  • - Portfolio management supervisors
  • - Compliance teams building Type 9 people files

Why this matters

  • - HKSI maps Paper 6 to the local regulatory framework paper set for Type 9 responsible officers.
  • - Type 9 responsible officer evidence must connect exam passes to investment authority, supervision, experience, and business controls.
  • - Asset-management regulation is closely tied to custody, valuation, conflicts, delegation, financial resources, and client reporting evidence.

Study map

Regulatory supervision

  • - Study asset-management regulation through the lifecycle of mandate, investment decision, trade execution, valuation, custody, reporting, and conflicts.
  • - Connect Paper 6 topics to the Type 9 business plan, investment committee, risk controls, and responsible officer authority.

Type 9 RO file

  • - Keep Paper 1, Paper 6, Paper 7, Paper 12, CV, investment experience, authority, and time-commitment evidence together.
  • - Document whether the candidate supervises portfolio management, risk, operations, client reporting, or a delegated manager model.

Licensing tie-in

  • - Paper 6 can support local regulatory framework evidence for a Type 9 responsible officer.
  • - The SFC still needs evidence that the RO is fit and proper, experienced, available, and empowered to supervise asset management.
  • - The firm application should show at least two credible Type 9 ROs and a business plan matching the actual investment process.

Booking and sponsorship

  • - Use HKSI's official LE overview for current Paper 6 syllabus, question count, duration, fee, and schedule.
  • - Use SFC competence guidance and licensing materials to check whether Paper 6, exemptions, or additional evidence apply.
  • - Keep pass certificates, exemption analysis, and CPT undertakings in the Type 9 people file.

Verify before studying

  • - Whether the candidate is a responsible officer or licensed representative.
  • - Whether the route is pure Type 9 or combined with Type 1 dealing, Type 4 advice, or fund marketing.
  • - Whether the candidate's recent and relevant experience supports the intended investment strategy.

Common mistakes

  • - Treating Paper 6 as the same as Paper 12.
  • - Preparing paper evidence without a credible Type 9 investment-process narrative.
  • - Ignoring custody, valuation, outsourcing, and financial-resources evidence while focusing only on exams.

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.