- 管理经验申请人士需具备最少两年经验证的管理技巧及经验。
- Industry Experience Applicants are required to have three years of relevant industry experience within the six years before the application date.。The applicant’s experience gained from a wide range of activities and investment strategies，Churu Asset Management、proprietary trading、Research、private equity investment、Special Situations and Alternative Investment Experience，are considered industry experience directly relevant to hedge fund management。
If the applicant’s experience is only indirectly related to hedge fund management (such as sales、Hedge fund marketing and risk management business)，The SFC may exercise its discretion to accept his application as a responsible officer，However, licensing conditions will be imposed，
Require
when the person actively participates in or directly supervises the licensed business，Must be conducted under the guidance of responsible individuals with direct hedge fund industry management experience。
- Educational Qualifications/Industry Qualifications Applicants must obtain recognized industry qualifications related to regulated activities。For example，For Type 9 regulated activity：（i）香港证券及投资学会（‘香港证券及投资学会’）文凭课程考试（‘文凭课程考试’）的卷1和卷3；或（ii）香港证券及投资学会证券及期货从业员资格考试（‘资格考试’）的卷7和卷12。
The following qualifications may be substituted for the above:
Require
：Accounting、Business Administration、economy、Finance、Law degree or other degree，But you must obtain passing grades in at least two courses of the above-mentioned academic materials.；law、An internationally recognized professional qualification in accounting or finance，Includes CFA、International Certified Investment Analyst and Certified Financial Planner；Obtain passing results in English or Chinese and Mathematics in the Hong Kong Certificate of Education Examination or equivalent Open Diploma of Secondary Education Examination and University Entrance Examination，An additional two years of relevant industry experience。
Relevant industry recognized qualifications will be taken into consideration when assessing the applicant’s industry experience，The roles and functions performed by the applicant and any experience closely related to the functions；或具备额外五年相关行业经验（即总共八年）。The Securities Regulatory Commission may grant academic/industry qualifications
Require
comprehensive and conditional immunity。
The blanket condition exemption is available to anyone who is currently or has been a licensed representative within the past three years and wishes to apply.：（i）不同类型的受规管活动牌照但
Require
Same qualifications and same roles；或（ii）转移其认证资格至另一持牌法团并从事相同的受规管活动及担当相同角色。under special circumstances，The SFC may also grant conditional exemptions。
If the applicant is a current licensee and has five years of relevant experience in the past eight years，To apply to perform the same role for another regulated activity but that activity
Require
different competency requirements，Applicants may be granted conditional exemption by the SFC。If the SFC grants a conditional exemption，The Securities and Futures Commission may impose restrictions on the scope of activities engaged in by applicants.。
in addition，Applicants are required to undertake an additional five hours of ongoing training in industry/product knowledge for the new regulated activity。4． Regulatory knowledge applicants must obtain a passing score in one of the locally recognized regulatory framework examinations。
For example，For Class 9 licenses，The locally recognized examination is：（i）香港证券及投资学会文凭课程考试的卷2；（ii）香港证券及投资学会金融市场主要计划考试的卷1；or (iii) Papers 1 and 6 of the Securities and Futures Practitioners Qualification Examination (for current licensed representatives who wish to apply to become Responsible Officers，No need to take Paper 1 exam)。
The SFC may exercise its discretion to grant responsible officers a six-month grace period to pass relevant regulatory framework examinations。Unless the CSRC further extends the extension under special circumstances，If you fail to pass the relevant examination within six months of approval，May cause the approval to be invalid。
SFC may grant regulatory framework examination
Require
a blanket exemption if the person：（i）在过往三年内已获证监会就涉及相同胜任能力的受规管活动发牌，and perform the same role as the previous license；或（ii）在过去六年内，Have no less than three years of experience in actively participating in regulatory or compliance work in relevant industries in Hong Kong。SFC may examine regulatory framework
Require
Exercise its discretion to grant conditional exemptions to qualified persons。
The SFC may impose such conditions as it considers necessary，For example, limiting the applicant’s activities to within the same group of related companies or at the non-retail customer level。The SFC may also grant conditional exemptions in certain circumstances。
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