Exam Roadmap · Preparation Strategy · Career Blueprint
1. Why Pursue a Type 6 Licence?
- Hong Kong logged 63 IPOs in 2024, raising roughly HK $83 billion, up almost 80 % year-on-year.
- Projections suggest fundraising could reach HK $150 billion in 2025 as markets rebound and M&A volumes rise.
- The Type 6 licence covers corporate finance activities such as sponsorship for listings, takeover & share-buy-back advice, and is a gateway to ECM and M&A careers.
2. Exam Requirements
| Role | Required Papers | Notes |
|---|---|---|
| Licensed Representative | Paper 1 (Regulatory Framework) + Paper 7 (Financial Markets) + Paper 11 (Corporate Finance) | Entry level |
| Responsible Officer (RO) | Above + Paper 5 (Corporate Finance Regulation) | Management track |
| Sponsor Representative | Add Paper 16 | IPO specialist |
| Sponsor Principal | Add Paper 15 | Senior sponsorship |
| Takeover / Buy-back Adviser | Add Paper 17 | M&A specialist |
Exemptions: Degrees or professional designations in accounting, finance, law, economics, etc. may waive certain application papers.
3. Preparation Strategy
- Study Resources
- Official HKSI e-manuals (free after registration)
- Online question banks & past papers
- Daily market news to contextualise key concepts
- 12–14-Week Timeline
- Weeks 1-4: Paper 1 — HK regulatory framework
- Weeks 5-8: Papers 7 & 11 in parallel
- Weeks 9-12: Paper 5 or 16 for specialisation
- Final 2 weeks: Regulatory updates & full mock exams
- Practical Tips
- Track SFC consultation papers and decisions
- Map exam topics to real IPO case studies
- Target ≥ 75 % in mocks before the real test
4. Career & Compensation Outlook
| Position | Annual Pay (HKD) | Highlights |
|---|---|---|
| Licensed Representative | 350 k – 550 k | Performance bonuses common |
| Responsible Officer | 800 k – 1.2 m | Higher compliance duties |
| Sponsor Principal | 1 m + | Lucrative IPO success fees |
Ongoing regional capital-market initiatives mean demand for Type 6 professionals is set to stay robust.
Latest Licences for Sale!
LCS0006 | Insurance Broker License (General & Long Term), Type 4, 9 License | Price: HK$2.4M + NAV (HK$2.4M) | Insurance and Securities Dual Licensed Company
Seize this golden opportunity to acquire a prestigious Hong Kong SFC Type 4 and Type 9 licensed corporation! 🔑 Key Highlights:Dual SFC licenses: Type 4 (Advising on Securities) & Type 9 (Asset Management. The type 9 licensee shall not provide a service of managing a portfolio of futures contracts for another person and conduct business…
LCS0026 | Type 1, 2, 4, 9 License | Price: HK$3.0M + NAV (HK$3.6M) | Profitable Since 2023
🏛️ Seize a Golden Opportunity in Hong Kong’s Financial Sector! Premium SFC Licensed Corporation for Sale! We are offering a distinguished SFC licensed corporation holding Types 1, 2, 4, and 9 licenses. This company has a solid foundation in securities trading, futures trading, securities advisory, and asset management.Key Highlights: 📜 Licenses: Type 1, 2, 4,…
- « Previous
- 1
- …
- 3
- 4
- 5
Latest Licences wanted!
BB0080 | SFC Type 1 or 1,4 License | Budget: 2M HKD
💼 Established mainland Chinese brokerage firm🏦 Specializes in options and margin trading🌐 Seeking to expand into Hong Kong📋 License required: SFC Type 1 or Types 1 and 4💰 Budget: 2 million HKD📈 Commission: 800,000 HKD markup requested Other Details: No current physical presence in Hong KongLooking to acquire an SFC licensed company For more information,…
BB0066 | SFC 1,4,9 | Budget 2.8M
🔍 Opportunity Alert: SFC Licensed Corporation Sought A mainland private equity fund is on the lookout for an SFC licensed corporation with Types 1, 4, and 9 licenses. This is a unique chance for sellers in the financial sector! Key Details:🏢 Licenses: SFC Types 1, 4, and 9💰 Budget: 2.8M HKD📈 Commission: 800,000 HKD markup…
BB0061 | 🏛️ License: SFC Type 1 | 💰 Budget: HK$2,500,000
Major Points about the buyer: 📊 SFC Type 1 license required💼 Trading Right needed📈 Margin trading capability preferred🕰️ Company history: 5+ years💰 Budget: HK$2,500,000 Other Details: Buyers include major shareholders of listed companiesReady for immediate SPA signing and deposit paymentWilling to cover transition period operational costsPrefer current RO to stay onCompany name must include “Securities”Buyers…
Paradox Management Limited
Paradox Management Limited, established in 2010 in Hong Kong, specializes in vocational training and licensing support for the finance, banking, and insurance sectors. The company offers personalized training programs, including private sessions and group classes, as well as access to comprehensive exam question banks. Additionally, Paradox Management Limited assists with regulatory compliance, the acquisition and sale of financial entities, and obtaining Money Lender Licenses. Catering primarily to small financial institutions, the company is known for its deep industry expertise, client-focused approach, and proven success in helping professionals excel in their careers.
Contact Us
WhatsApp: +852 5512 2462
Phone: +852 2110 9644
Fax: +852 2111 9644
Email: [email protected]
Wechat: hk2cexam