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Award in Financial Planning (Hong Kong) (HFE)

Different countries have their own social customs, economic organisation and financial systems and so certain financial planning principles and investment products are unique to each country. Financial advisers must be fully aware of the law, taxation system and investment products of the country in which they operate to identify the most suitable financial plans to meet their clients’ needs.

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However, beneath all the local differences lie certain universal financial needs and financial planning concepts. These common elements are covered, providing a foundation of understanding on which each individual adviser can build the specialist knowledge of products and principles unique to the markets they serve. Financial advisers are required to comply with a set of code of conducts and guidelines set out by the regulator and this unit provides an overview of the Hong Kong regulatory framework.

It looks at the importance of behaving professionally and how this affects the preparation and presentation of financial advice. The unit also explains how advisers identify their client’s needs in relation to Life and Health Protection planning, Pension planning, Savings and Investment planning, and Estate planning.

Protection products are covered, including why they are necessary, factors that should influence product selection, the main forms of protection policies and their uses, the interaction of factors affecting product suitability and solving simple protection case studies.

Savings and investment products are also considered, including why people need them. Candidates will gain an understanding of the interaction of factors affecting product suitability and appropriate investment advice for non-complex situations.

Finally, this unit provides an understanding of retirement products, an individual’s pension needs and alternative forms of pension provision. the main features of pension products and the factors affecting product suitability and applying these in straightforward client situations.

Please note: The Award in Financial Planning (Hong Kong) (HFE) is not available in the UK. Non-UK candidates can enrol online and opt for their preferred international exam centre location. Alternatively, candidates can enrol by contacting Customer Services.

Building a successful career in insurance

This course is suitable for those at the start of their career or anyone seeking to build their knowledge and understanding of financial planning in Hong Kong through formal study to achieve a professional qualification.

The Award in Financial Planning (Hong Kong) (HFE) supports your ongoing professional development, on passing the exam, you will hold one of the three units needed to complete the Certificate in Insurance and Financial Services. 

Summary of learning outcomes: 

At the end of this unit, candidates should be able to understand, in the context of Financial Planning in Hong Kong: 

  1. The client’s needs
  2. The fact-finding process
  3. Good practice
  4. Protection products
  5. Savings and investment products
  6. Retirement products


  • 2-hour exam  
  • 75 multiple choice questions (MCQs)
  • 70% nominal pass mark

Study material – editions available

2021-22 edition (applicable to exams sat 01 May 2021 to 30 Apr 2022)