cfp exam handbook en 2013feb

8/12/2019 CFP Exam Handbook en 2013Feb

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CFP CM CERTIFICATIONEXAMINATIONHANDBOOKPapers 1-4

GENERAL INFORMATION

VERSION: FEBRUARY 2013


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, ! A A A , , A , A A A A A E I< J K < D I J C LK FI KP FI K < D I J E A D I J E FE> FE> E L, K IFL> >I KJ I


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TABLE OF CONTENTS

I. CERTIFICATION REQUIREMENTS1. " FLI J"


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TABLE OF CONTENTS

VII. EXAMINATION POLICY 1. O D E K FE J FE L K . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . G.142. O D E K FE FI E> . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . G.14

3. JJ FI< . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . G.144.


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CERTIFICATION REQUIREMENTS

I. CERTIFICATION REQUIREMENTS

1. "Four Es" Requirements

AJ K < , ! A A A , E E FE> FE> EL, I


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C er t i f i c

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G en er al I nf or m

a t i on

2. Completion of Education Requirement


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( ) CC< K KLJ

E K


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3. Sequence of Papers

E K


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d b o ok


a t i on

III. CFPCM CERTIFICATION EXAMINATION

1. Content Coverage


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5. Update of Rules and Regulations

IFD K D< KF K D


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d b o ok


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PREPARATION FOR EXAMINATION

IV. PREPARATION FOR EXAMINATION

1. Revision Materials

E K


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REGISTRATION PROCEDURES

V. REGISTRATION PROCEDURES

1. Application

1.1 Application Form

AGGC K FE FIDJ I< GI EK< E 2


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C F P C M

C er t i f i c

a t i onE x ami n

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d b o ok


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2.3 Refund / Withdrawals Policy

R O D E K FE


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RESULTS AND CERTIFICATES

VI. RESULTS AND CERTIFICATES

1. Examination Results

R O D E K FE I


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C er t i f i c

a t i onE x ami n

a t i onH

an

d b o ok


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VII. EXAMINATION POLICY 1. Examination Misconduct

E K


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5. Enquiries on Examination

A K K <


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C er t i f i c

a t i onE x ami n

a t i onH

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d b o ok


a t i on

APPENDIX 1 : Information on Examination Papersand Examination Syllabus

Number of questions and distribution by topic*:

G


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FG EF. FG G I


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C F P C M

C er t i f i c

a t i onE x ami n

a t i onH

an

d b o ok


a t i on

FG EF. FG G


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22/4520

C F P C M

C er t i f i c

a t i onE x ami n

a t i onH

an

d b o ok


a t i on

FG EF. FG G


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C. Investment Planning

FG EF. FG G


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45

46

47

48

49

FG EF. FG G


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50

51

D. Tax Planning

FG EF. FG G


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FG EF. FG G


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E. Employee Benefits and Retirement Planning

FG EF. FG G


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F. Estate Planning

FG EF. FG G


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a t i onH

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d b o ok


a t i on

FG EF. FG G


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C er t i f i c

a t i onE x ami n

a t i onH

an

d b o ok


a t i on

Government Plans/ Retirement Plans/ Employee Benefits

Reference ReadingsF?8 7 8> = % = 8 I8=?< 8 , F E C

= 8 E=> > # 88 8 , F E C

8 I8=?< 8 , A JFE FE>, C K


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Appendix 2B : Paper 2 - Tax and Estate Planning

Financial Planning Process/ General Principles

Reference ReadingsBF = I8@ =>7 8>= , IN E/ I N- CC, < K FEBF < E = 8 #< == 8 % = 8= > ,F 8 8 # 88 8 #< > > 8 < =, E E C C EE E> K E I J BF I , F?8 7 8> = F 8 8 # 88 8 , I N- CC, < K FEIEJK & FLE>'J L < + ?< F?>?< 8 8 > D < >

F 8 8 ?< > , F E C


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C er t i f i c

a t i onE x ami n

a t i onH

an

d b o ok


a t i on

References from website!?< 8 8 > D < >

F 8 8 ?< > , F E C


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Risk Management/ Investment Vehicles

Reference ReadingsBF = I8@ =>7 8>= , IN E/ I N- CC, < K FE

L EE > E ? > < > H 8 K 8 , O FI E M

References from websitesNNN. FM. / D /

. . < LI K < FDD JJ FE NNN.J< .>FM

. . FDDF KP LKLI FDD JJ FE NNN. K .>FM< 7 8> ? > 8 : = 8 8 ? = < D > ? A8 A== > , F E C


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C er t i f i c

a t i onE x ami n

a t i onH

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d b o ok


a t i on

Appendix 3A : Paper 1 - Insurance and Retirement Planning

Question 1A


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Appendix 3B : Paper 2 - Tax and Estate Planning

Question 1F E E IP


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a t i onE x ami n

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d b o ok


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Appendix 3C : Paper 3 - Investment Planning

Question 1 FE< F K < FCCFN E> KFIJ NFLC < K < JKIFE>


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Appendix 3D : Paper 4 - Financial Planning Practice

C< J< I<


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C er t i f i c

a t i onE x ami n

a t i onH

an

d b o ok


a t i on

APPENDIX 4

3. S(a"da&d Ra(e' #f Ta,e'

Yea& #f A''e''!e"( Sa a&ie' Ta, S(a"da&d Ra(e* P$e&(- Ta, S(a"da&d Ra(e2006/07 KF 2007/08 16% 16%2008/09 FEN I J 15% 15%

* O G P C< J C LC K< K GIF>I


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Appendix 5: CFP CM Certification Examination Regulations

I. MisconductA E K< D P < JL < K KF J GC E IP J E K FEJ, E CL E> LK EFK C D K< KF < E> JHL C < IFD K < G


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C F P C M

C er t i f i c

a t i onE x ami n

a t i onH

an

d b o ok


a t i on

14. F < K E>, >LD- FI JDF E> J CCFN< K EP K D< E K < E 7 % ? > 8= = = > ?> IF#HK; ( ) I 8 IF#HK'= < > 8 7 8 > 8 7 > < = 8 8 > < < ? > 7 8

8 = @ @ /< @ 8 == => 8 > / < 7 < > 8 >8@ > 7 8 > 8.

17. E K


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5. E


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d b o ok


a t i on

14. E K


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APPENDIX 6

Appendix 6: Notice relating to the Personal Data (Privacy) Ordinance(the Ordinance)

J EFK < J KF

cfp exam handbook en 2013feb

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