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1. Introduction 1.1 The Mandatory Provident Fund Schemes has been implemented in Hong Kong since 1 December 2000. All Mandatory Provident Fund (MPF) intermediaries are required by the Mandatory Provident Fund Schemes Authority (MPFA) to pass an MPF examination recognized by the MPFA. The Mandatory Provident Fund Schemes Examination (MPF Schemes Examination) under the Insurance Intermediaries Quality Assurance Scheme conducted by the Institute of Professional Education And Knowledge Examination Centre (PEAK Examination Centre) of the Vocational Training Council (VTC) and the MPF Intermediaries Examination conducted by the Hong Kong Securities Institute (HKSI) have been recognized by the MPFA for the purpose of enabling candidates to meet the examination requirement for being an MPF intermediary. This Handbook aims to inform candidates the requirements and enrolment procedures of the examination. To assist candidates in preparing for the examination, its format, structure and assessment are also described in details.
Examination 2.1 Syllabus Syllabus of the examination is at Appendix I. 2.2 Format of Examination 2.2.1 Each examination lasts for 2 hours and consists of 80 multiple-choice questions. Each examination paper is presented in both English and Chinese. All examination questions are compulsory. Candidates may attempt the examination using either Pencil-and-Paper Mode or Computer Screen Mode Examination (CSME) run by the PEAK Examination Centre. Candidates choosing CSME are advised to familiarize with the examination format and operations. A “System Demonstration – Online Tutorial” is now available on the website of the PEAK Examination Centre (http://www.vtc.edu.hk/cpdc). VTC will not be responsible for any disputes and consequences resulting from the commands incorrectly inputted by the candidates. HKSI only provides Pencil-and-Paper Mode Examination. -1 -
2.2.2 2.2.3 2.2.4
Grading and Results 2.3.1 Examination results are graded as follows: (i) (ii) PASS FAIL
The exact score will not be disclosed. 2.3.2 Candidates who are not able to attend the examination for whatever reason are regarded as "ABSENT" (including those candidates who are late for 15 minutes or more after the start time of the examination). Absentees will not be re-scheduled to another examination session and the fees paid are not refundable.
Assessment To pass the examination, candidates are required to attain a minimum score of 70%.
Application 3.1 Timetable 3.1.1 3.1.2 3.1.3 The examination is being held regularly. The frequency of examination is flexible and subject to demand. Examination timetables will be promulgated well in advance of the dates of examination through the monthly Information Sheets issued by the PEAK Examination Centre and Examination Timetable issued by HKSI.
Entries 3.2.1 3.2.2 The examination is open to public and there is no prerequisite requirement for enrolment. Applicants should submit their enrolment forms to the examination body concerned on or before the deadline for enrolment. Late submission will NOT be accepted. Candidates may not register for more than one session of the examination (Pencil and Paper Mode) in a month.
Enrolment Form 3.3.1 Each candidate can obtain a complete set of enrolment package consisting of an enrolment form, an Examination Handbook, a copy of Notes on Personal Information Collection in connection with the Mandatory Provident Fund Schemes Examination/MPF Intermediaries Examination, and an Information Sheet/Examination Timetable at the examination body concerned. When the enrolment procedure is completed, the candidate will get an Admission Form for the examination. -2 -
PEAK Examination Centre of Vocational Training Council 4.4 4.5 stamp affixed 7" x 10" envelope enclosed) at the following addresses: (a) PEAK Examination Centre Vocational Training Council M/F. -3 - . 4.2 The enrolment package can be obtained in person during office hours or by post (with a self-addressed and $3.2.1 The completed enrolment form can be submitted to the examination body concerned by post.hksi.3 Please mark "Request for MPF Schemes Examination/MPF Intermediaries Examination Enrolment Form" on the envelope when making a request by post.org respectively.2. applicants are advised to send in their enrolment forms by post in good time. Cash must not be enclosed with the enrolment form.3 4.3.2 4.6 To safeguard against any possible loss or delay in mail.3. 3.hk/cpdc and http://www.3.5 VTC shall not be responsible for any loss of enrolment forms. Vocational Training Council Tower 27 Wood Road Wanchai Hong Kong Hong Kong Securities Institute Room 2403-08.2.4 4. cheques and cashier orders sent by post.3.2.edu.vtc. Candidate should also enclose a crossed cheque or a cashier’s order for the proper amount of examination fee payable to "Vocational Training Council" (HK$200 for Pencil-and-Paper Mode Examination or HK$250 for Computer Screen Mode Examination). Registration Procedures 22.214.171.124 Registration by post 4. Please mark "MPF Schemes Examination" on the envelope when sending the enrolment form by post. The addresses of the two examination bodies are stated in paragraph 3.2. Enrolment form can also be downloaded from the websites of the PEAK Examination Centre and Hong Kong Securities Institute which are http://www. 24/F Wing On Centre 111 Connaught Road Central Hong Kong (b) 3. 4.2.1 Registration by post closes 10 full working days before the date of examination.
if a candidate wants to sit for an examination held on Saturday. Where payment is made via bank deposit.3 Registration in person or by a representative 4.7 4. Walk-in enrolment for CSME is allowed provided that seats are still available in the respective session.5 4. For example. if a candidate wants to sit for an examination held on Monday.3. Examination fee can be deposited. 5. in person or by mail to the HKSI at least 5 full working days prior to the date of examination. in cash. No fax or email applications will be accepted. Applicants applying by mail are reminded to allow sufficient time for mailing.2 4.1 Registration in person or by a representative ends 2 full working days before the date of examination.3 Candidates may also pay the examination fee at PEAK Examination Centre by cash. he/she should submit the completed enrolment form in person or by a representative to the PEAK Examination Centre on or before Wednesday. The HKSI will ONLY process enrolment forms that it has actually received.1 The examination fee for each sitting of the Pencil-and-Paper Mode Examination is HK$200 and CSME is HK$250. 21 August 2006.4 Applicants should submit the completed enrolment forms.6 4. 26 August 2006. EPS or credit card (Visa or Master Card).2 -4 - . 126.96.36.199 4. MasterCard or American Express Card).: 207-002288-668 / Account Name: Hong Kong Securities Institute). Hong Kong Securities Institute 4. 16 August 2006. he/she should submit the completed enrolment form in person or by mail to HKSI on or before Monday. bank deposit or credit card (VISA Card. into the Hang Seng Bank (Account No. together with the appropriate examination fees (HK$200). Payment cannot be made through Automated Teller Machine. Candidates may pay the examination fees by cash.4. Applications received by the HKSI after the enrolment deadline will NOT be accepted. the original copy of the deposit form must be attached to the enrolment form. 4. Walk-in enrolment ends one hour before the commencement of the examination (within office hours of the Examination Centre) that the candidates concerned desire to attend. Payment should be settled upon submission of enrolment form.9 5. and under NO circumstances shall the HKSI be responsible for any loss of enrolment forms and/or payment details sent by mail. Payment of Examination Fee 5. Cash must not be sent by mail. For example. 21 August 2006.
in person or by a representative will normally receive by mail an Admission Form 3 full working days before the date of the examination.3 Entry to the examination will be invalidated if a candidate fails to comply with the above mentioned payment procedure. if necessary. venue.1 Candidates who register by post will normally receive by mail an Admission Form at least 3 full working days before the date of the examination concerned.5 6. the Admission Form may be distributed at the examination centre by the invigilator on the day of the examination concerned. If not. If not. Note: For CSME. the Admission Forms may be distributed at the examination centre by the invigilator on the day of the examination. No extra time will be given for this situation.2 Candidates who register by post.1 Candidates may have three choices of examination sessions in order of priority by specifying the respective Examination Numbers/Codes in the enrolment forms. Admission Form PEAK Examination Centre of Vocational Training Council 6. -5 - . On some occasions. candidates will not be able to log in the examination system and time will be wasted. Choice of Examination Session 7. Candidate Number. candidate’s name and Hong Kong Identity Card/Passport number. Candidates should notify the HKSI immediately of any necessary amendments if errors are found in the Admission Forms. if errors are found in the Admission Form. Fees paid are not refundable or transferable except where the candidates cannot be arranged to sit for one of their chosen examination sessions.5. at least 2 full working days before the date of examination. they should contact the PEAK Examination Centre to check if this has been misposted and should register in person or by a representative. Fees may be subject to revision as required.4 5. amendments must be made at least one hour before the examination. The Admission Form contains the information such as the Examination Number/Code. 7. On some occasions. 5. if errors are found in the Admission Form. at least 2 full working days before the date of examination. time. Hong Kong Securities Institute 6. they should contact the HKSI to check if this has been misposted and should register in person or by a representative. Candidates should check the information printed on the Admission Form and must notify the PEAK Examination Centre of any necessary amendments before leaving the counter. examination date. Candidates who register in person or by a representative will be issued an Admission Form about 15 minutes upon the acceptance of the enrolments. Candidates should notify the PEAK Examination Centre during the examination of any necessary amendments. if necessary. Otherwise.
Disqualification 10.2 Candidates who deliberately attempt to. they will be arranged to sit for an examination session which differs from their original chosen examination sessions if the latter are already full. destroy/alter the computer facilities and/or tamper with the computers will be disqualified immediately (examination fee will not be refunded) and are required to indemnify VTC for the losses.7. any requests for re-scheduling and/or cancellation will not be entertained. Examination Regulations Candidates should read carefully the Regulations of the Examination at Appendix II.3 7.2 Dates and times of the examination sessions are detailed in the Information Sheet/Examination Timetable. 10. Nevertheless. If the technical problems cannot be fixed within reasonable time. The PEAK Examination Centre/HKSI reserves the right to allocate candidates to designated examination sessions. if necessary. subject to the agreement of candidates. Identification Requirements PEAK Examination Centre of Vocational Training Council 11. The PEAK Examination Centre will try to fix the problems but delay may inevitably arise. and/or any law enforcement bodies. Failure to observe any of these regulations will result in disqualification from the examination. Once the enrolment is accepted. 10. or intend to. The VTC will not be liable for the candidates’ losses resulting from the system breakdowns. Candidates cannot object to the arrangements and any requests for cancellation and/or refunds will not be entertained.1 Candidates are required to bring with them their valid Hong Kong Identity Cards or Passports and Admission Forms to the examination venue for identification checking throughout the examination. 11. The PEAK Examination Centre/HKSI would report to the MPFA any cheating in respect of the examination.4 8.1 and the Hong Kong Police. the PEAK Examination Centre will arrange the candidates concerned to take a rescheduled examination as soon as possible. Those who fail to produce such -6 - . Computer or System Breakdown For CSME. 7. 9.1 If a candidate is found cheating in the sitting of the examination. The PEAK Examination Centre would also report the incident to the organisations as mentioned in 10. candidates’ results will be invalid if there is a technical breakdown caused by whatever reason during the examination. he/she may be disqualified from registration with the MPFA and taking the examination for 3 years. disrupt the system operations.
Candidates may log in to the system to check their results starting from the 7th full working day after the examination.2 On the examination date. each candidate MUST bring the original copy of his/her Admission Form and his/her original identity document. 12. M/F.2 For examinations conducted by the PEAK Examination Centre. in order to allow candidates to check their results sooner. The number of the identity document must be identical to the one indicated on the Admission Form.1.e. Enquiries may be directed to the PEAK Examination Centre at 2919 1468 or 2919 1478 during office hours.1 Notifications of examination results will be sent to candidates by post within 7 full working days after the date of examination. The examination results will exist in the system for 3 months since the respective date of examinations. i.2 For candidates attending Computer Screen Mode Examination: -7 - . 27 Wood Road. Candidates can have access to their individual results via the website of the PEAK Examination Centre at http://www. Letters can be sent to The Institute of Professional Education And Knowledge Examination Centre. fax or email. Hong Kong (postmark will be referred to) or faxed to 2574 0213. an enquiry system has been established. under no circumstances will the examination results be disclosed to candidates by telephone. By virtue of confidentiality.1 For candidates attending Pencil-and-Paper Mode Examination: 12. valid Hong Kong Identity Card or passport. Distribution of Results 12.identification documents or whose identities cannot be satisfactorily verified will not be permitted to sit for the examination. date of examination.1. Hong Kong Securities Institute 11.edu. Wanchai. Hong Kong Identity Card or Passport number. candidates) pursuant to Data Protection Principle 3 in Schedule 1 of the Personal Data (Privacy) Ordinance. Candidates can make enquiries to the examination body concerned by phone or in person if they do not receive the notifications 10 full working days after the date of examination. 12. 12. Candidates have to provide their name. name of paper and contact telephone number. Late notifications will not be entertained.e.vtc. VTC Tower. Anyone failing to produce the above documents will not be permitted to sit for the examination.hk/cpdc. Candidates who are unwilling to have their results available in the system may inform the PEAK Examination Centre in writing not later than 3 full working days after the date of examination. Any use of the personal data in this system for purposes other than the above-mentioned purpose requires the prior consent given voluntarily by the individuals who are the subjects of the data (i.
The Hong Kong Confederation of Insurance Brokers and Professional Insurance Brokers Association for reference.2 Candidates submitting such request would have to enclose a crossed cheque of HK$400 payable to the examination body concerned (“Vocational Training Council” or “Hong Kong Securities Institute”) as a fee for re-marking. Note: To avoid loss in the mail. Where payment is made via bank deposit. the original copy of the deposit form and the damaged Notification of Results.4. 12. within 2 weeks after the date of issue of the Notification of Results. Securities and Futures Commission.1 Candidates who are not satisfied with their examination results may. candidates should notify the examination body concerned in writing IMMEDIATELY of any change in their correspondence address.2 Candidates may print the result at the examination venue and then collect the Notification of Result from the invigilators. Hong Kong Monetary Authority.4 Re-issue of the Notification of Results PEAK Examination Centre of Vocational Training Council 12. 13. into the Hang Seng Bank (Account No. Re-marking of the Examination Papers 13.1 The examination results will be shown on the computer screen immediately after the completion of the examination.2.3 List of candidates who passed the examination (including Hong Kong Identity Card number or Passport number) may be sent to MPFA. However. candidates who have lost or damaged their Notification of Results may apply for a Statement of Results by submitting a written request to the HKSI within 6 years of the date of the relevant examination. must be attached to the written request. 12.2.12. The results will also be recorded for candidates’ confirmation and signature. if any. 13. Candidates must inform the invigilators before they submit the answers. Office of the Commissioner of Insurance. Insurance Agents Registration Board.4.2 The Notification of Results will be issued ONCE only by the HKSI and will NOT be re-issued. Hong Kong dollar payment can be deposited. The HKSI charges a handling fee of HK$200 (per copy) for issuing the Statement of Results. 12. Hong Kong Securities Institute 12. in cash.1 Candidates may request a re-issued copy of the Notification of Result in writing together with a copy of the Hong Kong Identity Card to the PEAK Examination Centre within two years from the date of the examination. or be paid by cash at the HKSI office. -8 - .: 207-002288-668 / Account Name: Hong Kong Securities Institute). The invigilators will confirm the result with the candidates and guide them to print the Notification of Results. request in writing to the PEAK Examination Centre or HKSI whichever held the examination concerned for the re-marking of the examination papers.
13. Alternatively.2 Candidates who pass the examination will be awarded certificates. Certificates PEAK Examination Centre of Vocational Training Council 14.3 All re-marking fees are non-transferable and non-refundable. which can be collected by candidates in person from the PEAK Examination Centre during office hours two weeks after the examination. the certificate can be sent to candidate by registered mail upon candidate’s written request and submission of HK$25 to the HKSI being payment for the postal expenses. the original copy of the deposit form must be attached to the written request. Certificate can also be collected by a representative equipped with an authorization letter. which can be collected by candidates in person from the HKSI during office hours 5 full working days after the issue of Notification of Results. the re-marking fee will be refunded to the candidate concerned. the uncollected certificates were disposed of six months after the examination. Hong Kong dollar payment can be deposited.13. into the Hang Seng Bank (Account No. Certificate can also be collected by a representative provided with a duly signed authorization letter. With effect from 12th April. PASS or FAIL). The PEAK Examination Centre or HKSI will not disclose the exact scores.5 The result will be sent to the candidates concerned in writing within one month after receipt of the re-marking request. Alternatively. Uncollected certificates will be disposed of six months after the examination. The result of the re-marking is final. a copy of the Notification of Result and a copy of the Hong Kong Identity Card or Passport of the candidate concerned. 15. 13. Note: For the examination before 12th April.4 All re-marking of examination papers will be kept confidential. the examination questions and the corresponding corrected answers. an original copy of the Notification of Results and a copy of the Hong Kong Identity Card/Passport of the candidate concerned. if the original examination result is found incorrect after the re-marking.6 Candidates will only be notified of the final grading (i. the certificate can be sent to candidates by registered mail upon candidates’ written request (a photocopy of Hong Kong Identity Card or Passport enclosed) and submission of a crossed cheque of HK$25 to the Vocational Training Council being payment for the postal expenses. in cash. 2006 (the examination date).: 207-002288-668 / Account Name: Hong Kong Securities Institute). 13. Hong Kong Securities Institute 14. However. Where payment is made via bank deposit. 14.e.1 Candidates who pass the Examination will be awarded certificates. 2006. or be paid by cash at the HKSI office. Loss or Damage to Certificates -9 - . the valid period for collection of the certificates is two years from the date of the examination.
damaged or disposed of. A chop “Duplicate” will appear on the certificate to indicate that it is a re-issued certificate. Where payment is made via bank deposit.edu. Hong Kong (a photocopy of Hong Kong Identity Card or Passport and a copy of corresponding Notification of Result slip enclosed). in cash. 27 Wood Road. candidates who have lost or damaged their certificates may apply for a Statement of Results by submitting written request to the HKSI. The candidate’s contact number should be provided. Candidates may also obtain a hard copy of the study notes at the PEAK Examination Centre of the VTC or HKSI upon payment of a copying charge of HK$30 for the study notes. VTC Tower. Study Notes for Examination The study notes for the examination can be downloaded from the websites of the PEAK Examination Centre at http://www.mpfahk.: 207-002288-668 / Account Name: Hong Kong Securities Institute). the original copy of the deposit form and the damaged certificates. . must be attached to the written request. The certificates will be re-issued only once. However.10 - . The application procedures are: (1) Write to the PEAK Examination Centre at M/F.PEAK Examination Centre of Vocational Training Council 15. (2) (3) (4) Hong Kong Securities Institute 15.vtc. Write to the HKSI requesting for a Statement of Results. The HKSI charges a handling fee of HK$200 (per copy) for issuing the Statement of Results.hk/oci or the MPFA at http://www. The charge is HK$200 per certificate.hk/cpdc.info. or be paid by cash at the HKSI office. 17. Hong Kong dollar payment can be deposited. A crossed cheque for HK$200 payable to “Vocational Training Council” must be submitted. into the Hang Seng Bank (Account No.2 The certificates will be issued ONCE only by the HKSI and will NOT be re-issued. the Office of the Commissioner of Insurance at http://www.1 Candidates are advised to read the notice relating to the Personal Data (Privacy) Ordinance at Appendix III in understanding their rights and obligations regarding the supply of their personal data to the examination bodies and the manner in which the examination bodies may use or deal with such data for their examination applications. Wanchai. if any. 16.org.1 Candidates may request in writing for re-issuing certificate(s) which was/were lost.gov. Notice on Personal Data (Privacy) Ordinance 17. The PEAK Examination Centre will contact the candidate to collect the certificate in person one week after the receipt of the request.
edu. – 5:30 p. : 2919 1467 (24 hours’ hotline) 2919 1468 2919 1478 2574 0213 www.hk Fax Website Email Office Hours : : : 9:00 a.m.edu.m.17. The notes should be submitted to the examination body concerned together with the enrolment forms. Enquiries Enquiries may be directed to the PEAK Examination Centre or the HKSI by the following methods: PEAK Examination Centre of Vocational Training Council Tel.2 Candidates who apply to sit for the examination should read the Notes on Personal Information Collection in connection with the Mandatory Provident Fund Schemes Examination/MPF Intermediaries Examination and sign the Consent at the foot of the Notes which are part of the enrolment packages distributed to candidates.hk email@example.com - . – 12:00 noon on Saturday Hong Kong Securities Institute Examination Hotline General Enquiries Fax Website Email Office Hours 9:00 a.vtc. 18.m. from Monday to Friday Saturdays.org firstname.lastname@example.org. – 8:00 p.m.org .hksi. from Monday to Friday 9:00 a. Sundays and Public Holidays Closed : : : : : 3120 6220 3120 6100 2899 2611 www.
Employment Ordinance F. Trustee Ordinance II. Securities and Futures Ordinance C. Securities and Futures Commission (“SFC”) B. Mandatory Provident Fund Schemes Authority (“MPFA”) A. Advantages of MPF iii. MPFSO Regulations C. Mandatory Provident Fund Schemes Ordinance (“MPFSO”) B. MPF’s Economic Impact REGULATORY FRAMEWORK i. Retirement Protection Prior to the Introduction of the MPF System ii. Mandatory Provident Fund Schemes Examination/ MPF Intermediaries Examination Examination Syllabus I. MPF Codes. Monetary Authority (“MA”) iii. Functions of the MPFA B. Three Pillars for Old Age Protection B. Ageing Population B. Why MPF? A. Occupational Retirement Schemes Ordinance (“ORSO”) B. Other Relevant Legislation A. . Organization Structure of the MPFA ii. Guidelines and Standards iv. Inland Revenue Ordinance G. Insurance Authority (“IA”) C. Insurance Companies Ordinance D. Banking Ordinance E. Guidelines and Standards A. Codes. Need for Retirement Protection A. Other Regulators A. MPF Legislation.Appendix I Candidates are recommended to study the Seventh Edition of the Study Notes (October 2009) to prepare for the examination with effect from 1 February 2010. INTRODUCTION TO THE MANDATORY PROVIDENT FUND (“MPF”) SYSTEM i.
Employers Who Are Not Exempt from MPFSO B. Duties of Employers B. Coverage v. Voluntary Contributions C. A. Exempt Persons vi. Duties of the Trustee on the Transfer of Accrued Benefits xi. Duties of Trustees vii. Fiduciary Duties of Trustees C. Contributions A. Mandatory Contributions B. Enrolment A. Self-employed Person Becomes an Employee of an Employer C. When an Employee Ceases Employment IV. Advantages of the Trust Arrangement . Major Obligations of Employers A. Compensation Fund ii. Concept of Trust B. Preservation x. Vesting ix. Functions of Appointed Service Providers iii. Security of Scheme Assets A.Appendix I -2- III. Employee Who Ceases Employment with His/Her Employer B. KEY FEATURES OF THE MPF SYSTEM i. Types of MPF Schemes iv. Unclaimed Benefits xiii. Withdrawal of Benefits xii. Recourse against Trustees D. Offsetting of Long Service Payments / Severance Payments xiv. Professional Indemnity Insurance C. Tax Allowances D. Default Contributions viii. MPF TRUSTEES Trust Arrangement i. Portability A. Duties of Self-employed Persons C. Stringent Authorization Requirements B.
v. MPF Schemes iii. Hong Kong Dollar Currency Exposure vii. Constituent Funds A. Investment Management B. V. Features of Constituent Funds B. Different Forms of ORSO Schemes following the Introduction of the MPF System VI. .Appendix I -3- ii. vii. iii. Other Investment Restrictions D. Statement of Investment Policy vi. Exemption Criteria iv. Approval of Pooled Investment Funds B. Types of Benefits Provided B. Types of Pooled Investment Funds v. Comparison of Features iii. On-going Monitoring INTERFACE ARRANGEMENTS BETWEEN ORSO SCHEMES AND THE MPF SYSTEM i. Types of Constituent Funds iv. iv. MPF Exempted or Not ii. Permissible Investments C. Registration of MPF Schemes and Approval of Constituent Funds ii. Fees and Charges viii. Code on Disclosure for MPF Investment Funds x. Switching between MPF Schemes / Constituent Funds ix. Investment Standards and Restrictions A. Approved Pooled Investment Funds (“APIFs”) A. Categories of Trustees Duties and Functions of Trustees Approval of Trustees On-going Monitoring Compliance Standards for MPF Approved Trustees Sanctions and Penalties MPF SCHEMES AND INVESTMENT i. Types of ORSO Schemes A. vi. ORSO Registered or ORSO Exempted C.
Code of Conduct for MPF Intermediaries (“Code of Conduct”) B. Implications for Existing Members and New Eligible Employees A. MPF Intermediary ii. MPF INTERMEDIARIES i. vi. Rendering Investment Advice vii. Existing Members Opting to Remain in An MPF Exempted ORSO Registered Scheme B. Regulatory Framework iii. New Eligible Employees Opting to Join An MPF Exempted ORSO Registered Scheme On-going Requirements for MPF Exempted ORSO Schemes VII. Other Codes of Conduct v. Registration Requirements iv. Role of MPF Intermediaries vi. Codes of Conduct for MPF Intermediaries A.Appendix I -4- v. Existing Members Opting to Join An MPF Scheme C. Sanctions and Penalties Code of Conduct for MPF Intermediaries October 2009 .
Candidates are advised to arrive at the examination centre at least 15 minutes before the start of the examination. Candidates will be assigned a seat after their identity is verified. silent in operation and with neither print-out nor graphic/word display functions. text or image storage/display functions (e. such as alarm watches. photo-taking. 2. text and images. Wireless Local Area Network (LAN). However. For the Mandatory Provident Fund Schemes Examination conducted by the PEAK. Absentees will not be re-scheduled to another examination session and the fees paid are non. 7. as well as devices which produce sound of any kind. 3. the examination organised by the PEAK will be started according to the published schedule. text/graphics scanning. walkie-talkie (i.e. audio/video play-back and/or recording (e.Appendix II Regulations of the Mandatory Provident Fund Schemes Examination/ MPF Intermediaries Examination General Rules 1. . radio transmitting and/or receiving). No candidates will be admitted to the examination centre more than 15 minutes after the start of the examination. provided that the calculators are battery-powered. infrared interface. MP3 and compact disc players). As far as possible. Candidates who attend an examination not in a designated venue shall not be allowed to take the examination. Candidates are required to switch off all communication devices such as mobile phones and pagers.transferable and non-refundable. Non-programmable electronic calculators may be used in examination. electronic diaries. Candidates are NOT allowed to use Personal Digital Assistants (PDAs) or any devices (except authorised calculators stipulated in Rule number 5 above) which include any of the following functions during the examination : input/output and/or transmission of information such as data. data. BEFORE entering the examination centre. the invigilators will check the candidates’ valid Hong Kong Identity Card or Passport and Admission Form upon their arrival. the Vocational Training Council will not be responsible for any delay arisen due to operational reasons. 6. 4. Candidates are NOT allowed to use any communication devices during the examination. Those who fail to produce such identification or whose identity cannot be satisfactorily verified will not be permitted to sit for the examination. dictionaries and databank watches).g. 5. Calculators brought into the examination centre are subject to inspection. or system failure. wireless communication functions such as Bluetooth® wireless technology.g.
For the Candidates who arrive at the examination centre within 15 minutes after the start of the examination.Appendix II 8. 10. obtains knowledge of an examination paper by any means prior to the examination. Candidates must sit according to the designated seat numbers unless otherwise approved by the invigilator. Drinking. candidates should remain silent and seated until all examination papers have been collected by the invigilators. eating and smoking are not allowed in the examination centre. 15. candidates must listen to the Chief Invigilator’s announcement. The examination bodies will not be responsible for any loss. The use of correcting fluid on the Multiple Choice Answer Sheets is not permitted. Disqualification A candidate may be disqualified from the examination if he or she: 1. 18. The Chief Invigilator will announce the start of the examination after the login is completed (normally within one minute). study materials. Candidates should use HB pencils to answer multiple-choice questions. 16. notes. Before the start of the examination. candidates attending Pencil-and-Paper Mode Examination are not permitted to leave the examination centre in the final 15 minutes. Candidates who are not able to attend the examination for whatever reason are regarded as “ABSENT” (including those who are more than 15 minutes late). 14. However. 2. 12. communicates or attempts to communicate with any person inside or outside the examination centre during an examination. 13. theft or damage of personal properties of candidates during the examination. candidates may request to leave the examination centre with the approval of the invigilator. Candidates should bring their own pencils and erasers into the examination centre. After the examination has been in progress for more than 30 minutes. Then the candidates will have one minute to log in the examination system. At the end of the examination. dictionaries. All personal articles including any textbooks. electronic diaries and any other electronic devices (except authorised calculators stipulated in Rule Number 5 above) must be placed in the designated area during examination. their examination time will not be extended. 17. 9. 11. . Candidates attending CSME are forbidden to switch on the monitors or any computer facilities until they are instructed by the Chief Invigilator.
8 or above or the black rainstorm warning signal is announced. once the examination has commenced.m. all remaining examinations of that day (those at or after 12:00 noon) will be cancelled.vtc. backing sheets or graph paper by any means. If the typhoon signal no..m. 7. Those who fail to produce such identification may not be permitted to sit for the examination. books or electronic devices brought into the examination centre or from the work of another candidate during an examination session. Typhoon and Black Rainstorm Warning PEAK Examination Centre of Vocational Training Council 1. copies from notes. to 12:00 noon will be cancelled. 8 or above or the black rainstorm warning signal is in force after 6:15 a. If the typhoon signal no.m. takes away or attempts to take away from the examination centre any examination materials. leaves the examination centre without permission.hk/cpdc for the announcement.Appendix II 3. does anything which causes unnecessary distraction to other candidates or disruption to the examination. The new examination date and time will be notified to candidates as soon as possible. 4.. starts to work on the question paper before being instructed to do so or continues to write after being told to stop writing at the end of an examination session. 2. 9. such as examination question books or examination questions. candidates are required to sit through the examination even if the typhoon signal no. 8. fails to follow the General Rules or the instructions of the invigilators in the examination. or 4. 3. but before 11:00 a. Examination Centre at . 10. takes an examination on behalf or in the name of another person or allows other persons to take the examination instead of himself/herself. Candidates are advised to listen to radio or television broadcasts for any special announcements concerning postponement of examinations. Proof of Identity Candidates must bring the Admission Forms together with proof of valid Hong Kong Identity Cards or passports to the examination.. 8 or above or the black rainstorm warning signal is in force at or after 11:00 a. 6. answer sheets.edu. 5. Remarks: Please visit the website of the PEAK http://www. examinations between 9:00 a. is found cheating in whatever manner. The number of this identity document must be identical to the one indicated on the Admission Form. However.m.
3. All examinations that start between 12:00 noon and 10:00 p. 8 or above or the black rainstorm warning signal is in force after 6:00 a. the HKSI will notify candidates in writing of the examination’s rescheduled date and time. will be cancelled when typhoon signal No. 7. 2. . Examinations will be cancelled when typhoon signal No.m. 8 or above or the black rainstorm warning signal is hoisted while the examination is in progress. If an examination is cancelled. 5. 6. Candidates are also advised to listen to radio and/or television broadcasts for any special announcements. Under these circumstances. candidates do not have to re-register for the examination. but before 12:00 noon. Applications for refund and/or transfer of examination fees paid will not be entertained. If typhoon signal No. 8. the examination will continue until the scheduled finishing time. The HKSI reserves the right to postpone and/or cancel an examination under extraordinary circumstances. Candidates are advised to call the HKSI’s Examination Hotline (3120 6220) for any special announcements.m.m.m. 8 or above or the black rainstorm warning signal is in force at or after 12:00 noon. 8 or above or the black rainstorm warning signal is hoisted.Appendix II Hong Kong Securities Institute 1. 4. All examinations that start between 9:00 a. and 6:00 p. will be cancelled when typhoon signal No.
posting of examination result on the website of the PEAK Examination Centre for the candidates’ own checking. and any other related purposes. Securities and Futures Commission. c. please note that the answer sheets used by candidates in the examination (which may contain their personal data) will be destroyed two months after the date of the concerned examination. the examination body concerned has the right to charge a reasonable fee for the processing of any request for data access. distribution of examination results to candidates concerned. The examination body concerned may use the supplied personal data for the following purposes:a. Mandatory Provident Fund Schemes Authority. d. by the examination body concerned for these or any other purposes. or obtained hereafter. certifying candidates’ examination results to the Office of the Commissioner of Insurance. (4) (5) . (1) Candidates are required to keep the examination body concerned informed of any change of their personal data once they are enrolled as candidates for the examination until 6 months after the date of examination. g. match .Appendix III Notice Relating to the Personal Data (Privacy) Ordinance In view of the Personal Data (Privacy) Ordinance (“the Ordinance”). the examination body concerned may. Insurance Agents Registration Board. transfer or exchange their data with the data already possessed. administering the examination. (2) e. research or statistical analysis. As the Ordinance allows. h. (3) The examination body concerned will keep the personal data of candidates confidential. this notice is to help candidates understand their obligations and rights in respect of the supply of their personal data to the Vocational Training Council or Hong Kong Securities Institute and the way in which the examination bodies may use or handle such data. The Hong Kong Confederation of Insurance Brokers. Candidates may have the right under the Ordinance to request access to or correction of any data provided by them as per the manner and limitations prescribed therein. compare. f. and Professional Insurance Brokers Association. Nevertheless. unless expressly requested not to do so by the respective candidate in writing. Hong Kong Monetary Authority. In this connection. b. during its operations. as permitted by law. reporting cases of disqualified candidates to the relevant regulators and bodies. maintaining a candidate record.
2919 1478 Fax : 2574 0213 E-mail : cpdc@vtc. Vocational Training Council Tower 27 Wood Road Wanchai Hong Kong Tel : 2919 1467. telephone numbers.org . fax numbers and email addresses are as below: PEAK Examination Centre of Vocational Training Council PEAK Examination Centre Vocational Training Council M/F.edu. Their addresses. 24/F Wing On Centre 111 Connaught Road Central Hong Kong Tel : 3120 6220 (Examination Hotline) 3120 6100 (General Enquiries) Fax : 2899 2611 Email : email@example.com Hong Kong Securities Institute Room 2403-08. 2919 1468.Appendix III (6) Candidates who request for access to data or correction of data may contact or write to the examination body concerned.
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