1、CONFIDENTIAL WHEN COMPLETED 保密資料Nomination Form for HKSI Fellowship資深會員提名表格Surname or Family Name 姓氏 Given Name(s) 名字 Daytime Tel No. 日間聯絡電話 Email Address 電郵地址 Membership No. 會員編號 For office use only 學會專用：Admission Date Membership Progression Details Remarks入會日期 會籍晉升 備註Please forward to: Room 2403-0
2、8, 24/F Wing On Centre, 111 Connaught Road Central, Hong Kong 請將表格交回：香港干諾道中111號永安中心 24樓2403-08室Membership Hotline 會籍熱線： 3120 6170 Fax 傳真：2899 2611 Email 電郵：memberhksi.org HKSI Fellowship Requirements香 港 證 券 專 業 學 會資 深 會 員 申請資格Application requirements for HKSI Fellow may be fulfilled in one of the fo
3、llowing ways: 1. - Ordinary Membership (MHKSI); AND- HKSI Diploma Programme Examination (DPE) qualification; AND - 7 years of post admission relevant experience. The candidate holding a responsible position within the securities and investment industry, and having completed the HKSI DPE may put forw
4、ard an application for consideration and approval by the Board. OR 2. - The candidate has over 15 years relevant industry experience; AND - with at least 5 years HKSI Ordinary Membership (MHKSI); AND - holds a senior position in their company, and is responsible for the formulation of policy making
5、decisions; AND- has voluntarily contributed a significant amount of his/her time (no less than 2 years) to the development of the Institute; AND - has made a significant contribution to the securities and investment industry by way of:(a) holding a responsible position within the securities and inve
6、stment industry; or (b) possessing recognized expertise in the securities and investment industry; or (c) being a recognized scholar in finance or investment; or (d) having devoted time to serve in an advisory capacity for a relevant government committee. The candidate, having made a significant con
7、tribution, may put forward an application for consideration and approval by the Board. 申請人如符合下列資格，可申請晉升為香港證券專業學會資深會員1. - 香港證券專業學會會員(MHKSI)；及- 完成香港證券專業學會文憑課程考試(DPE)；及- 於入會後取得七年相關工作經驗。申請人如現職證券或投資行業高層，並完成香港證券專業學會文憑課程考試，可提出申請，由董事局考慮審批。或2. - 申請人擁有十五年相關工作經驗；及- 成為香港證券專業學會會員(MHKSI) - 不少於五年及- 擔任公司高級職位，負責制訂決策
8、；及- 致力貢獻學會的發展，積極參與會務 (不少於兩年)；及- 對證券及投資界有下列重要貢獻：(a) 在證券及投資行業任職高層；或(b) 具備證券及投資行業的專業知識及技能；或(c) 在財務或投資方面卓然有成的學者；或(d) 服務於相關的政府委員會。申請人如對學會、證券或投資行業有重要貢獻，可提出申請，由董事局考慮審批。Nomination Form for HKSI Fellowship 香港證券專業學會資深會員提名表格Section A to be completed by the Nominee 甲部由被提名人填寫Part I第一部份Personal Particulars 個人資料Na
9、me in English 英文姓名 Surname 姓氏 Other Name(s) 名字Name in Chinese (if any) 姓名 Membership No. 會員編號 Company 現職公司 Position 職位 Company Address 地址 Tel No. 電話 Fax No. 傳真 Email Address 電郵 Part II第二部份Post Admission Education/Professional Qualification(s) (most recent date first) 入會後取得之學術專業資格(請先列最近期者 )Institute/
10、Issuing Authority 頒發機構 Qualification 資格 Year Awarded 頒授年份Part III第三部份Voluntary Work HKSI or Industry Related (most recent date first) 公職參與與學會或本行有關（請先列最近期者） Organization 機構Committee/Panel 委員會名稱Position held (e.g. Chairman/Member, etc) 職位（例如主席委員等） Year(s) of Service 服務年期Part IV第四部份Post Admission Caree
11、r History (most recent date first) 入會後的就業詳情（請先列最近期者）Company/Organisation 機構名稱 Responsibilities 工作性質 DD/MM/YY 日月年From 由 To 至Name of Firm 機構名稱Position Held 職位Name of Firm 機構名稱Position Held 職位Name of Firm 機構名稱Position Held 職位Name of Firm 機構名稱Position Held 職位If the space above is insufficient, please su
12、pply information on a separate sheet of paper.如上述欄位不敷應用，請另紙書寫。Part V第五部份Good Reputation and Character良好聲譽及品格Have you been disciplined in any way, that is cautioned, fined, suspended or subject to any kind of penalty or punishment by any regulatory authority?(If YES, full details must be provided on
13、a separate sheet of paper)Yes 有 你曾否遭受任何形式的紀律處分，例如受到警告、罰款、暫時吊銷牌照或受到監管機構任何形式的懲罰或處分？(如有，則必須提供詳細資料，並另紙書寫。)No 沒有 DECLARATION BY THE NOMINEE 被提名人聲明 ：The HKSI must be notified of any other information which is relevant to this nomination. If any of the information contained in this form changes prior to a
14、decision to approve the nomination, the HKSI must be informed immediately in written format. A nominee is required to notify the Institute immediately of any subsequent changes to the information provided, if such changes relate in any way to the nominees professional conduct or reputation. Withhold
15、ing information from, misleading or attempting to mislead the HKSI on any point will be deemed an act of misconduct for which a nominee may be liable to disciplinary proceedings under the HKSI Membership Rules and Regulations.“I declare that the above information is complete and correct and that I h
16、ave not withheld any material information from the HKSI. I consent to the HKSI making any necessary inquiries for purposes relating to this nomination for the verification of the information given above.” 任何有關本項提名的有關資料，必須知會香港證券專業學會。如果學會在公佈接納有關提名之前，本提名表格所載資料有任何改變，被提名人必須即時書面通知香港證券專業學會。此外，如果被提名人認為其先前提供
17、的資料有任何改變，而有關改變涉及其專業操守或聲譽，須即時通知學會。此外，刻意隱瞞資料，或就任何事宜誤導或嘗試誤導香港證券專業學會，將被視為嚴重的失當行為，被提名人將會根據本會的會員規則，受到紀律處分。本人聲明上述所提供的資料正確完備，並無向香港證券專業學會隱瞞重要事實。本人同意學會可就資深會員提名事宜，核實上述資料及進行必要的查詢。Signature of Nominee 被提名人簽署PDate日期Important Notes For the purpose of this form, the terms are defined as follows:- Nominator: any HKS
18、I Ordinary Member (MHKSI) who proposes another MHKSI for application of HKSI Fellowship (FHKSI);- Nominee: any MHKSI who is nominated by the nominator for application of FHKSI;- Nomination: the process of proposing any MHKSI for application of FHKSI. All nominees must fulfill the application require
19、ments for HKSI Fellowship. All nominations must be supported by two nominators who are also Ordinary Members (MHKSI) of the Institute. All nominees are required to attach copies of relevant certificate(s)/proof of information supplied in Section A: II, III and IV for assessment. The information prov
20、ided will be used for matters related to this nomination only. A non-refundable application fee of HK$500 will be charged. Please type or complete the form in block letters.重要事項 在此提名表格 內所用之專有名詞，其定義如下:- 提名人: 學會會員 (MHKSI) 提名另一學會會員 (MHKSI) 申請成為資深會員 ;- 被提名人: 由提名人提名申請成為學會資深會員之學會會員 (MHKSI);- 提名: 提名任何會員 (M
21、HKSI) 成為學會資深會員的手續。 所有被提名人必須符合學會資深會員的申請資格。 被提名人必須獲得兩名學會會員 (MHKSI) 的提名。 被提名人需就表格甲部第二, 三及四項所述資料，附上有關證書副本或證明書，以便學會審核。 閣下所提供之資料，只用於與提名有關之事宜。 申請費用為港幣500元，有關費用將不予退還。 請以正楷填寫表格。APPLICATION FEE 費用： I have enclosed a cheque for HK$500隨申請表附上港幣500元支票乙張Payable to: Hong Kong Securities Institute 抬頭付香港證券專業學會Please
22、write your name on the reverse-side of the cheque請於支票背後寫上閣下之姓名 I authorise payment of HK$500 through credit card 本人授權從下列信用咭扣除港幣500元 Visa/MastercardName of Cardholder 持咭人姓名： Expiry Date 到期日：Credit Card Number 信用咭號碼： Signature 簽署： Date 日期：THE INSTITUTES MISSIONTo set standards of professional excellen
23、ce and integrity for members and market participants, and to provide the means of attaining them, as a contribution to Hong Kongs role as a leading international finance centre with high standards of performance, and to maintain a membership of professionals and enhance the capabilities and reputati
24、on of members.學會使命為會員及市場從業員制訂專業才能及操守的準則，並提供途徑以達致該等準則，及確保香港維持金融中心地位作出貢獻，以及匯聚業界專業人士為會員，提升會員的能力和聲譽。THE HKSI CODE OF PRACTICEMembers must: Act in their clients interest rather than their own in a situation where conflicts occur. They should act honestly in good faith and exercise independence in making
25、professional judgments. Carry out their work to the high ethical, professional and technical standards expected of them as a member of the Institute. Ensure that they are, and remain, competent to carry out the duties that their profession requires. Encourage the training of young practitioners who
26、are under their authority and give proper supervision and guidance at all times. Obey the rules and regulations enforced by the competent authorities, and follow the spirit as well as the letter of the law.香港證券專業學會會員守則會員必須: 當出現利益衝突時，會員必須以客戶的利益為依歸，將自己利益放在次要地位。 會員處事應出於真誠及誠信，而作出專業判斷時更應保持獨立。 工作時必須達致作為學會
27、會員應有的道德、專業和技術水平。 確保在現時及日後履行其專業所需執行的職責時，其表現都是稱職的。 鼓勵受其督導的年青從業員接受培訓，並無論在任何時間均對其提供適當的監督和指導。 遵守主管當局制訂的法規，包括遵守有關條文及認同其背後的精神。Nomination Form for HKSI Fellowship香港證券專業學會資深會員提名表格Section B to be completed by the First Nominator 乙部由第一提名人填寫Please read the “Important Notes” section before filling in the nominat
28、ion form.在填寫表格前, 請參閱提名表格內重要事項一欄。Part I第一部份Nomination 提名I hereby nominate to apply for HKSI Fellowship.本人現提名 (Membership No: M會員編號_) 申請為學會資深會員。Part II第二部份Reason(s) for nominating the nominee to apply for HKSI Fellowship (100-150 words) 提名上述會員申請為學會資深會員的原因（以100 - 150字為限）第二部份DECLARATION BY THE FIRST NOM
29、INATOR 第一提名人聲明：“I declare that the above information is correct to the best of my knowledge.”本人聲明，上述所提供的資料，以我本人所知，均屬真確。First Nominator 第一提名人Name in Full 姓名 Membership Number 會員編號Position 職位 Company 現職公司Tel No. 電話 Fax No. 傳真Email Address 電郵地址Signature 簽署 Date 日期Nomination Form for HKSI Fellowship香港證券
30、專業學會資深會員提名表格Section B to be completed by the Second Nominator 乙部由第二提名人填寫Please read the “Important Notes” section before filling in the nomination form.在填寫表格前, 請參閱提名表格內重要事項一欄。Part I第一部份Nomination 提名I hereby nominate to apply for HKSI Fellowship.本人現提名 (Membership No: M會員編號_) 申請為學會資深會員。Part II第二部份Reas
31、on(s) for nominating the nominee to apply for HKSI Fellowship (100-150 words) 提名上述會員申請為學會資深會員的原因（以100 - 150字為限）第二部份DECLARATION BY THE SECOND NOMINATOR 第二提名人聲明：“I declare that the above information is correct to the best of my knowledge.”本人聲明，上述所提供的資料，以我本人所知，均屬真確。Second Nominator 第二提名人Name in Full 姓名 Membership Number 會員編號Position 職位 Company 現職公司Tel No. 電話 Fax No. 傳真Email Address 電郵地址Signature 簽署 Date 日期
