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CPT requirements

Hong Kong CPT requirements

Check the main requirements based on your role, licensing date and work.
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LR

Licensed Representative

Minimum 10 CPT hours per calendar year.

  • At least 5 hours must be directly relevant to the regulated activities performed.
  • At least 2 hours must cover ethics or compliance each year after the first 12 months.
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RO

Responsible Officer

Minimum 12 CPT hours per calendar year.

  • Includes 2 additional hours specifically on regulatory compliance.
  • At least 5 hours must be directly relevant to the regulated activities performed.
  • At least 2 hours must cover ethics or compliance; these do not replace the RO’s 2 additional regulatory-compliance hours.
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01

First 12 months

Complete 2 CPT hours specifically on ethics within 12 months of first becoming licensed or registered.

  • The ethics hours may count towards the annual total.
  • They do not count towards the RO or EO additional regulatory-compliance hours.
  • This one-off ethics requirement is not reduced on a pro-rata basis.
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SP

Specialist duties

Additional topic-specific training applies to certain work.

  • Sponsor work: at least 2.5 hours each year on topics relevant to sponsor work.
  • Takeovers Code transaction work: at least 2.5 hours each year on relevant advisory topics.
  • These hours may count towards the 5 directly relevant hours.
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FOR ALL ROLES

Completion and record requirements

Check course relevance and keep evidence of completion.
View the SFC Guidelines on Continuous Professional Training
  • Annual requirements generally apply by calendar year; excess hours cannot be carried forward.
  • Online learning should include an independent assessment and sufficient completion and duration records.
  • Individuals should retain supporting evidence, including certificates or assessment results, for at least 3 years.
  • Requirements may be pro-rated when first licensed during the year, except for the one-off first-year ethics requirement.
  • General guidance only. Individuals and institutions should confirm course relevance and applicable requirements against the current SFC Guidelines and their own circumstances.

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