CPWP Online Platform

User Guide for CPWP Renewal Application

December 19, 2019

Table of Contents

1. Apply for CPWP Certification Renewal Page 1- 9

2. Payment Methods for Renewal Application Fee Page 10-18

3. Submission of Renewal Application to PWMA Page 19-20

4. CPWP Certification Renewal Application Results Page 21-22

1. Renewal Process - Apply for CPWP Certification Renewal

• CPWP User log-in to Online Platform

• Login to access the account by clicking https://www.pwma-cpwponline.com/login

1

1.2 Certification Expiry date

• CPWP Certification expiry date is shown next to [My Certification]

2

1.3 Apply for CPWP Certification Renewal

• Click [Apply for Renewal] to start the renewal process

3

CPWP User Member Firm 9

1.4 Fill-in “Employment Update”

• Fill-in “Employment Update” if there is a change of employment during the year

• Click “No” to proceed if there is no update of employment

4

1.5 Updates of Personal Particulars

• Review [Personal Particulars] and update personal information if necessary

5

1.6 Fulfillment of 10 On-going Professional Training (OPT)

• Check the box of 10 OPT hours in the [Update Employment Status and Ongoing Professional Training Hours]. If box is not checked, a prompt will pop up to inform the CPWP User about the terms and conditions.

• Upload official training record if CPWP user is not employed by a PWMA member institution.

6

Member Firm

1.7 Update of [Disciplinary Actions and Investigations, Financial Status and Character]

• Review [Update Disciplinary Actions and Investigations, Financial Status and Character] and provide supporting document if any “Yes” is selected

7

1.8 [Acknowledgement and Declaration]

• Check [Acknowledgement and Declaration] box before proceeding to [Submit]

8

1.9 Submission of renewal application to the relevant department for verification

• After clicking submit button, the following message appears.

9

2. Payment Methods for Renewal Application Fee

10

After verification, applicant may be requested by his/her employer to settle the renewal fee. The renewal fee can be settledeither by credit card or Cheque payment/Bank Transfer.

• In such a case, the following payment request will be sent to applicant:

“Renewal Application(2019000028R) has been verified by a member firm. Please proceed to make payment in “My Renewal Application.”

Dear CPWP User

Renewal Application 2019000028R has been verified by the relevant department of your bank, please proceed to make payment for your CPWP renewal application.

Renewal Application No：2019000028R

Please click the below link to pay now:https://www.pwma-cpwponline.com/payment

The invoice could be downloaded from the below link:https://www.pwma-cpwponline.com/invoices

Yours sincerely,

Private Wealth Management Association Limited

After the verification by Member Firm and payment request, CPWP User

• Login to https://www.pwma-cpwponline.com/login

• Click [My Certification]

11

To make payment2.1

Click [Go to Pay] to make payment

• Settle Payment by 1) Online Payment (credit card payment only accepts Visa, Mastercard and JCB) , 2) Cheque payment, or 3) Bank Transfer

12

2.1 To make payment (Cont’d)

CPWP User

2.2 Cheque/Bank Transfer Payment

13

Cheque/Bank Transfer Payment

• Select Cheque Payment/ Bank Transfer

• Transfer payment by Online Banking or ATM machine. Please be reminded to retain the receipt

• Or write a cheque payable to “Private Wealth Management Association Limited” and scan a cheque copy

• Upload Cheque copy or Bank Transfer Receipt before [Confirm Submission to PWMA]

CPWP User

2.3 Credit card payment

Proceed to make credit card payment

• Choose [Online Payment] before clicking [submit]

14

CPWP User Member Firm 19

Proceed to make credit card payment

• Choose [Proceed to pay]

15

CPWP User

Member Firm

2.4 Credit Card Payment (Cont’d)

16

2.5 Credit Card Payment (Cont’d)

• Fill-in Credit Card Billing Information and [Payment Details] before clicking [Next]

• Review payment details before clicking [Pay]

17

2.6 Credit Card Payment (Cont’d)

• After submit payment and application to PWMA, a notification of “Online Payment successfully” received

18

2.7 Credit Card Payment (Cont’d)

• Receive an email “Your CPWP Renewal Application(2019000028R) has been submitted to PWMA” after payment

19

Dear CPWP User

Your CPWP Renewal Application (Renewal Application No: 2019000028R) has been submitted to PWMA for processing.The application fee has been paid.

Yours sincerely,

Private Wealth Management Association Limited

3. Submission of Application to PWMA

3.1 To download a receipt for reimbursement

• After application submitted to PWMA, CPWP User can download a receipt for reimbursement

20

Dear CPWP User,

Thank you for your payment.

This is to confirm that a CPWP Certification Renewal Application 2019000028R was received from CPWP Applicant at PWMA together with a non-refundable payment of HKD 1000.00.

For the purposes of your reimbursement, please download the receipt from below link:https://www.pwma-cpwmonline.com/receipt

Yours sincerely,

Private Wealth Management Association Limited

After approval granted by Accreditation and Exemption Committee, CPWP User will receive:

• an email “Renewal Application (2019000028R) is approved. The Certification is (2019000000)”

21

Dear CPWP User

CPWP Renewal Application (2019000028R) is approved

With respect to your renewal application for CPWP certification (CPWP Certification No.: 20190000000) for thepurpose of the Enhanced Competency Framework, we are pleased to confirm that you have fulfilled therequirements for certification renewal. Your CPWP certification https://www.pwma-cpwmonline.com/ is herebyextended with expiry date till 31 December 2020.

Please note that the said certification has to be renewed annually by taking not less than 10 hours of privatewealth management (“PWM”)-related On-going Professional Training (“OPT”) in each calendar year, of which 5hours may be the Continuous Professional Training required by the Securities and Futures Commission. Of the10 OPT hours, at least 2 hours should be on PWM-related ethics and compliance. You should also submit to usthe Online Application Form for CPWP Certification Renewal (On-going Professional Training) within 1 monthfollowing the expiry of your certification.

We would like to remind you that you should read, understand and comply with the attached Private WealthManagement Association (“PWMA”) Code of Ethics and Conduct and certain conditions listed under Section 15of the PWMA By-laws, failing which your certification status may be revoked.Please quote the CPWP number for any future correspondence with us.

Yours sincerely,

Private Wealth Management Association Limited

4. CPWP Certification Renewal Application Results

Online CPWP Electronic Certificate is available

• CPWP User login to https://www.pwma-cpwponline.com/login and download an electronic certificate

22

CPWP User

4.1 CPWP Certification Renewal Application Results (Cont’d)

CPWP No 2019000000