Introduction Eligible Professionals Organizations - Free Download PDF

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GRANDFATHER CLAUSE APPLICABLE TOQUALIFIED ACCOUNTANTS,PROFESSIONALS IN ACTUARIES,INSURANCE, LAW, TAXATION ANDFINANCE PROFESSORS1 February, 2017(Wed) (00:00) to 31 March, 2017 (Fri)(17:00)IntroductionBy applying the Grandfather Clause, the Council of the Society of Registered Financial Planners has passeda resolution to grant applicants of proven credentials, experience and/or professional background thefull HKRFP membership, waiving relevant examinations. This special interim activity is in line with ourprinciple of maintaining the highest degree of professionalism, while at the same time enables us toextend recognition and fledge the financial planning sector further in Greater China.Hereby we invite qualified individuals from the following organizations to submit their applications,from 1 February, 2017(Wed) (00:00) to 31 March, 2017 (Fri)(17:00).Eligible Professionals OrganizationsOrganization(By Alphabetical order)Professional Designation1Actuarial Society of Hong KongASHK2Australian and New Zealand Institute of Insurance and FinanceANZIIF(Senior Associate)3Bar Association of Hong KongBarrister4CFA Institute (Asia-Pacific Hong Kong)CFA5Chartered Professional Accountants of Canada (CPA Canada)CPA (Canada)6CPA Australia (Hong Kong)CPA (Aust)7Institute of Financial Accountants in Hong KongAFA8The American Institute of Certified Public AccountantsCPA(US), AICPA9The Association of Chartered Certified Accountants (ACCA Hong Kong)ACCA10 The Association of International AccountantsAIA11 The Chartered Institute of Management Accountants (CIMA HK Office)ACMA12 The Chartered Insurance InstituteACII13 The General Agents and Managers Association International (GAMAInternational)GAMA (Active Member)14 The Hong Kong Association of Financial Advisors LimitedHKAFA*15 The Hong Kong Institute of Certified Public AccountantsCPA (HKICPA)16 The Hong Kong Institute of Chartered SecretariesFCS/ACS (HKICS), ACIS/FCIS (ICSA)17 The Hong Kong Society of Financial Analysts LtdHKSFA18 The Institute of Chartered Accountants in AustraliaCA (Australia)19 The Institute of Financial Planners of Hong KongCFP20 The Law Society of Hong KongSolicitor21 The Life Underwriters Association of Hong KongCLU22 The Society of Chinese Accountants and AuditorsMSCA23 The Taxation Institute of Hong KongFTIHK/ATIHK*with condition to complete two intensive workshopsRm 504, 5/F, Blissful Building, 243-7 Des Voeux Road Central, Hong KongTel: (852) 3105 1744 Fax: (852) 2186 7136 Email: [email protected] Website: www.hkrfp.org of 6

Application1.2.3.4.5.6.7.8.9.10.11.Each qualified applicant is allowed to employ the Grandfather Clause only once in the applicationof full HKRFP membership.A qualified applicant should be a full member in good-standing in one of the above listed eligibleprofessional organizations.Applicants should possess a minimum of two years of financial planning experience and need toprovide details of his/her job responsibilities.Application form can be downloaded from the Society’s website (http://www.hkrfp.org) or obtained atthe Society’s office or by post with a self-addressed envelope sent to the Society’s address at:Society of Registered Financial PlannersRoom 504, Blissful Building, 243-7 Des Voeux Road Central, Hong KongCopy of the applicant’s membership certificate issued by eligible professional organization isrequired as an attachment to application.Two references, one of whom a member of the eligible professional organization, are required tosign at appropriate space of the form as a supportive item to the application.Applicants must make declaration that he/she will oblige to the code of conduct of the Societyupon admission to full membership by signing at appropriate space of the form.A non-refundable processing fee of HK 700, by cheque payable to“Society of Registered Financial Planners”, must be submitted together with the application form.Upon acceptance to full membership of the Society, applicants shall be notified by mail and needto pay an exemption fee, included 1 year membership subscription of HK 2,300 (Total HK 3,000).Application deadline is 31 March, 2017 (Fri)(17:00).The Council of the HKRFP Society has the final and conclusive decision on all application. If anindividual is declined of full membership application under this Grandfather Clause scheme,he/she will need to go through the normal HKRFP procedure of exams and application approval.Category of relevant financial planning experience of 6Provide consulting services in the selection of investment products, including investment funds,derivative products, life insurance plans.Directly responsible for or serve as intermediary in the sales and distribution of investmentproducts, including investment funds and derivative products, wealth management products.Directly participate in or provide consulting services in establishing personal trust and estateplanning.Provide consulting services for personal tax planning and international wealth management andallocation.Provide consulting services for employee benefit planning.Provide consulting services for personal retirement planning and wealth protection.Participate in a regulatory capacity of the financial planning industry such as the InsuranceCommission and the Securities and Futures Commission.Participate in training and provision of educational services for the financial planning industry.Rm 504, 5/F, Blissful Building, 243-7 Des Voeux Road Central, Hong KongTel: (852) 3105 1744 Fax: (852) 2186 7136 Email: [email protected] Website: www.hkrfp.org

Membership Application FormGrand Father Rule edition1 February, 2017(Wed) (00:00) to 31 March, 2017 (Fri)(17:00)PERSONAL PARTICULARS (Typewritten or block capitals)Title:Dr./Mr./Mrs./Ms/Miss *Sex:Surname:Male/Female *Given names:Chinese name:Hong Kong Identity Card Number:Date of Birth (DD/MM/YY):/ /Please affixNationality:Daytime Tel. No.:Mobile Tel. No.:Email address:Fax No.:a recent photoCorrespondence address:Name of Employer/BusinessNature of Business:Employer’s Address:Membership type:Full MemberACADEMIC AND PROFESSIONAL QUALIFICATIONSPlease list relevant technical, academic and professional examinations passed (highest level in each field only).Please attach copies of these certificates.Name of Educational InstituteHighest Grade AttendedDate Passed* Delete where appropriateRm 504, 5/F, Blissful Building, 243-7 Des Voeux Road Central, Hong KongTel: (852) 3105 1744 Fax: (852) 2186 7136 Email: [email protected] Website: www.hkrfp.org of 6

Membership of Professional or Occupational InstitutionsName of Professional InstituteDesignationDate AdmittedWorking ExperienceOrganizationPositionDate (from/to)(the most recent first)Responsibilities ** Please attach a separate sheet if space provided is insufficient.REFEREEName of Referee(1)Company NamePositionProfessionalDesignationIn my view, the applicant is a fit and proper person to be admitted as member of Society ofRegistered Financial Planners.Name of Referee(2)Company NamePositionTelephone no.Signature:ProfessionalDesignationIn my view, the applicant is a fit and proper person to be admitted as member of Society of RegisteredFinancial Planners.Telephone no.Signature:APPLICATION FOR EXEMPTIONS(S)If you wish to apply for exemption(s) for any course or examination, the following documentation must be provided withthis application:(a) Evidence that you have completed courses in equivalent to the course for which credit is being claimed (e.g. academicrecord, transcript results)(b) A detailed documentary description of the syllabus for the module(s)Exemption Applied For of 6State the Course / Programme / InstitutionYou have takenMonth/YearQualification ObtainedRm 504, 5/F, Blissful Building, 243-7 Des Voeux Road Central, Hong KongTel: (852) 3105 1744 Fax: (852) 2186 7136 Email: [email protected] Website: www.hkrfp.org

FeesHKDAdministration fee (non-refundable)700Upon acceptance of full membership of HKRFP, applicants shallbe notified to pay a first-time registration and membership asfollows:Full Member (first year subscription)(included)Exemption fee:FP3010 Financial PlanningFP3020 Insurance PlanningFP3030 Investment PlanningFP3040 Tax PlanningFP3050 Best Practices for Financial Planners2300TotalFor official use onlyMembership category:Full Member Fees received:Cheque No:HK Received date:Secretariat:3000SubmissionAfter completing this Application Form, please send the Form, together with a cheque (being application fee and madepayable to “Society of Registered Financial Planners”) and the supporting documentation (copies only please, they will NOTbe returned) to:Telephone: (852) 3105 1744Facsimile : (852) 2186 7136E-mail : [email protected]: www.hkrfp.orgSociety of Registered Financial PlannersRm 504, 5/F, Blissful Building,243-7 Des Voeux Road Central, Hong KongDeclaration1. I declare that all information given in this Application Form and the attached documents are, to the best of my knowledge,true, accurate and complete.2. I undertake to observe and abide by the Code of Ethics and Memorandum and Articles of Association of Society ofRegistered Financial Planners (“HKRFP”). In the event of my resignation from membership, I agree to pay all arrears ofsubscription due to HKRFP to the date of the surrender of my membership certificate.Signature:Date:Rm 504, 5/F, Blissful Building, 243-7 Des Voeux Road Central, Hong KongTel: (852) 3105 1744 Fax: (852) 2186 7136 Email: [email protected] Website: www.hkrfp.org of 6

14 The Hong Kong Association of Financial Advisors Limited HKAFA* 15 The Hong Kong Institute of Certified Public Accountants CPA (HKICPA) 16 The Hong Kong Institute of Chartered Secretaries FCS/ACS (HKICS), ACIS/FCIS (ICSA) 17 The Hong Kong Society of Financial Analysts Ltd HKSFA 18 The Institute of Chartered Accountants in Australia CA (Australia)