Registration System

Description

In response to the rapidly evolving financial markets and increasing demands for professional knowledge and conduct from financial practitioners, the Hong Kong Gold Exchange Limited ("the Exchange") has established a "Registration System" for practitioners in view of the rising qualification requirements in the industry. According to the registration system, all managers, traders, and business representatives appointed by Exchange members must register with the Exchange before they can conduct business involving Exchange trading products.

Types of Registered Persons

Responsible Managers
Responsible Managers are Registered Persons who are primarily responsible for supervising the gold and silver businesses of Members to whom they are accredited. They shall be the representatives of the Members to whom they are accredited in any communications between the Company and the Members regarding compliance matters.
Registered Exchange Traders
Registered Exchange Traders , who are authorised by the Company to engage in the trading of any product traded in the Exchange or any rights appurtenant thereto
Registered Account Executives
Registered Account Executives , who are authorised by the Company to:
  • act as agents of clients of Members in the buying or selling of any product traded in the Exchange or any rights appurtenant thereto; and
  • engage in the promotion or marketing of any product traded in the Exchange or any rights appurtenant thereto

Requirement of CPT

Types
Fees (HK$)
CPT Hours
Responsible Managers
Application: $1,920
Annual fee: $1,920
5 Hours
Registered Exchange Traders
Application: $540
Annual fee: $540
5 Hours
Registered Account Executives
Application: $540
Annual fee: $540
5 Hours