ECF-TM: FAQs. equity lending and secondary loan trading generally do not fall within the definition of financial
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1 ECF-TM: FAQs Q1. What is the Enhanced Competency Framework on Treasury Management (ECF-TM)? In order to support capacity building and talent development, the Hong Kong Monetary Authority (HKMA) is working with the banking industry and the TMA to implement an industry-wide ECF-TM for Treasury Management practitioners. The availability of a set of common and transparent competency standards enables more effective training for new entrants and professional development for existing practitioners, which is conducive to maintaining the competitiveness of Hong Kong as an international financial centre. Q2. To whom is the ECF-TM applied to? The ECF-TM is applied to Relevant Practitioners engaged by authorized institutions (AIs) undertaking business activities, market and/or liquidity risk management, and product control within the Treasury Management function in the Hong Kong banking industry. Q3. What is the definition of Treasury Management for ECF-TM? Under the ECF-TM, Treasury Management refers to: (a) Selling and marketing of financial products and services 1 to institutional and corporate customers (b) Dealing and investment of financial products and services, including counterparty trading (c) Treasury operations, asset and liability management, and risk management and control (including but not limited to market or liquidity risk management) (d) Product development and control for new product sign-off or launch 1 The term financial products and services is intended to capture common financial products sold and traded by institutional and corporate sales desks of AIs in Hong Kong. As an illustration, types of financial products under ECF-TM will include, but not limited to, the financial products enlisted on the Code of Conduct and Practice of the TMA. Please note that equity securities, equity-related futures, equity lending and secondary loan trading generally do not fall within the definition of financial products and services for the purpose of ECF-TM. However, structured products such as equity linked instruments are covered by the Code of Conduct and Practice of the TMA and should be regarded as financial products and services for the purpose of ECF-TM. 1
2 Q4. What are the financial products enlisted on the Code of Conduct and Practice of the TMA? The Code of Conduct and Practice of the TMA covers a wide range of financial products traded in wholesale treasury markets, including: (a) Foreign exchange (including FX derivatives); (b) Money market instruments; (c) Debt securities; (d) OTC derivatives other than FX derivatives (e.g. interest rate options, FRA, IRS, etc.); (e) Repurchase agreements (repo); (f) Commodities; and (g) Credit derivatives and other structured products. Q5. Who are the Relevant Practitioners among AIs? The Relevant Practitioners for the ECF-TM includes the following job roles: Role Descriptions of Relevant Practitioners at Core Level Role Descriptions of Relevant Practitioners at Professional Levels I and II Role 1 Dealing, Selling and Investment Role 2 Risk Management and Control Supporting trading Supporting activities, treasury-related risk conducting simple management financial market control (including activities and but not limited to supporting the sales market and/or of financial liquidity risk products to management) and institutional or reporting corporate customers Conducting Monitoring financial market performance of and Treasury investments carried Management out by deals and activities, selling investment financial products operational 2 Role 3 Product Development and Control Not applicable Identifying and developing new financial products, performing due diligence on new products, seeking
3 to institutional and corporate customers, and formulating Treasury Management strategies departments, enforcing and reviewing risk limits and exceptions (including but not limited to market and/or liquidity risk management) sign-off from other control functions in the AI The definition of Relevant Practitioners recognises differences among AIs in how the Treasury Management practitioners are allocated within their organisational structure (e.g. as a unit within the AI s treasury department or as part of the commercial banking). For details of key tasks of different job roles (performed by Relevant Practitioners, please refer to Annex 1 of Guide to Enhanced Competency Framework on Treasury Management. The following categories of staff do not fall within the definition of Relevant Practitioners : (a) Staff in the Treasury Management function performing solely clerical and administrative duties. (b) Staff responsible for back office functions (e.g. confirmation or settlement of trade). (c) Staff responsible for general risk management, reporting and compliance of the entire organisation rather than Treasury Management, or providing support to Treasury Management on an ad hoc rather than an ongoing basis. (d) Staff responsible for tasks operating outside Hong Kong, e.g. staff providing financial products and services executed or conducted outside Hong Kong. Q6. For the purpose of ECF-TM, whether treasury products and services executed outside Hong Kong but booked with the Hong Kong office will be considered as in-scope business? Treasury products and services executed or conducted in Hong Kong, regardless of the booking location, are included in ECF-TM framework. In other words, those executed or conducted outside Hong Kong do not fall within the scope of ECF-TM. 3
4 Q7. Are AI staff members working back office settlement function included in the ECF-TM? No, the back office settlement function supporting the confirmation or settlement processes of treasury products is not within the scope of the ECF-TM framework. Q8. If the Treasury Management functions of an AI are outsourced, will the ECF-TM apply to such personnel? AIs should ensure that the outsourced functions are performed by competent personnel who possess the ECF-TM or other comparable qualifications. Q9. What are the qualification standards and certification awards under the ECF-TM? Qualifications are set at three levels in accordance with the three competency standards (i.e. Core Level qualification, Professional Level I qualification and Professional Level II qualification). Details of the qualification standards and certification awards are set out in Annex 2 of Guide to Enhanced Competency Framework on Treasury Management. Q10. How does a Relevant Practitioner determine which level of Certification is applicable to him/her? A Relevant Practitioner can refer to the key roles and tasks outlined in Annex I of Guide to Enhanced Competency Framework on Treasury Management to see which level of competency is applicable to him or her (i.e. Core Level, Professional Level I or Professional Level II) before enrolling the relevant training programmes or examinations. Q11. How does a Relevant Practitioner attain the Certification under the ECF-TM? TMA takes up the role of administrator of the ECF-TM Certification. Upon attaining the qualifications and fulfilling the minimum work experience requirements (if applicable), Relevant Practitioners may apply to TMA for certification as Associate Treasury Management Professional (ATMP), Certified Treasury Management Professional (CTMP), or Certified Senior Treasury Management Professional (CSTMP) under the ECF-TM. The specific conditions for ECF-TM certification are as follows: (a) Associate Treasury Management Professional (ATMP): Successful completion of the Core Level certification (no minimum work 4
5 experience is required) (b) Certified Treasury Management Professional (CTMP): Successful completion of the Professional Level I certification plus at least 3 years of relevant work experience (c) Certified Senior Treasury Management Professional (CSTMP): Successful completion of the Professional Level II certification plus at least 5 years of relevant work experience Q12. Is the prerequisite work experience needed to be continuous? The relevant experience of a Relevant Practitioner does not need to be continuous. Q13. Is there any application fee for the ECF-TM Certification? There is no application fee for the ECF-TM certification. However, TMA individual membership is required for holding valid ECF-TM Certification granted by TMA. The ECF-TM Certificate is subject to annual renewal by TMA together with the renewal of TMA membership. A Relevant Practitioner must: (a) Complete the annual continuing professional development requirement; and (b) Pay an annual membership fee to renew his/her ECF-TM certificate and TMA membership. The annual individual membership fee of TMA is HK$1,000 for the time being. Q14. What are the Continuing Professional Development (CPD) requirements? Holders of ECF-TM certification are required to undertake the following minimum CPD requirements: (a) Core level - a minimum of 10 CPD hours in each calendar year. (b) Professional level - a minimum of 20 CPD hours in each calendar year. The CPD requirements will be waived for the first calendar year (ending 31 December) of certification and grandfathering. Q15. What kind of activities fulfills CPD requirements? Activities that qualify CPD requirements include: 5
6 (a) Attending seminars or courses provided by AIs, recognised professional bodies and academic and training institutions, and TMA; (b) Attending overseas training; (c) Attending professional examinations; (d) E-learning (maximum 2 hours for Core level; maximum 5 hours for Professional level); (e) Self-study activities (maximum 2 hours for Core level; maximum 5 hours for Professional level) (f) Luncheon talks; and (g) Delivering training and speeches. Q16. Are CPD hours cumulative? No, any CPD hours accumulated in any calendar year cannot be carried forward to the next calendar year. Q17. What happens if the ECF-TM certificate holder fails to meet the minimum CPD requirements? Failure to meet the annual CPD requirements may result in the revocation of the certification and expulsion of TMA individual membership. Should there be any exceptional reason, e.g. long sick leave, to justify the failure, members should report it to TMA as soon as possible and TMA will consider it on a case-by-case basis. Q18. If I previously worked overseas, do these overseas work experience be considered relevant? Regardless the work locations, TMA will consider it provided the work experience is relevant. Q19. What are the accredited training programmes and examination available? TMA is the programme and examination provider for the accredited training programmes and examination. Competency Qualification Fee Core Level TMA level 1 Professional Certificate in Treasury Markets (QF level 4) HK$4,000 6
7 Competency Qualification Fee Professional Level I and II* TMA level 2 Postgraduate Certificate in Banking and Corporate Treasury Management (QF Level 6) - Module 1: Banking and Corporate Treasury Management - Module 2: Treasury Products and Financial Risk Management - Module 3: Treasury Risk Management and Compliance HK$6,240 per module *For Professional Level I qualification, Relevant Practitioners should consider key tasks and roles they are taking up or specializing in or in charge of before they enroll the relevant training programmes or examinations. Details of training programmes can be found on the TMA website ( Q20. How many times can a Relevant Practitioner enroll the training programme or take the examinations? No, there is no limit on number of intake for the training programme or examination. Q21. What is one-off exemption grandfathering arrangement? The grandfathering period starts from 2 January 2018 to 31 December A Relevant Practitioner can apply for grandfathering on a one-off basis based on the following criteria: (a) ECF-TM Core Level may be granted where the applicant is: Existing TMA Associate Member; and Employed by an AI at the time of application (b) ECF-TM Professional Level may be granted where the applicant is: Existing TMA Full Member or Fellow Member; and Employed by an AI at the time of application Existing Relevant Practitioners meeting the above criteria can submit their grandfathering applications to the TMA on or before the deadline of 31 December Those who are working in an AI but not a current TMA member could apply for grandfathering during 2 January 2018 to 31 December 2018 if they are admitted as a TMA Associate or Full Member according to TMA s prevailing membership policies. 7
8 Q22. If I am a current TMA member but not working in an AI but change to work in an AI after the grandfathering period, can I still apply for the ECF-TM certification? Any persons not working in an AI or treasury management functions of an AI may submit application to the TMA for grandfathering within three months from the date of joining the Treasury Management functions of an AI and becoming a Relevant Practitioner. However, they should have met all the applicable grandfathering criteria on or before 31 December 2018 as prescribed by the TMA. Q23. Is there any fee for grandfathering arrangement? No, there is no additional fee for grandfathering arrangement. Relevant Practitioners should apply for ECF-TM certification together with application of the TMA individual membership. The annual TMA individual membership fee is HK$1,000. Q24. Will a Relevant Practitioner receive any document certifying that he/she is an ATMP/CTMP/CSTMP certification holder? Yes, the TMA will issue a certificate to confirm the status of the certification award under the ECF-TM. Q25. What is the role of TMA in the ECF-TM? The TMA is the administrator of the ECF-TM and tasked with handling the certification and grandfathering processes under the ECF-TM for applicants satisfying the specified qualification and/or experience requirements. The TMA is the programme and examination provider for the accredited qualifications. The TMA will also be administering the CPD requirements as set out under the ECF-TM. Q26. Is it mandatory for a Relevant Practitioner to obtain the ECF-TM certification? Although the ECF-TM is not a mandatory licensing regime, AIs are encouraged to adopt it as the benchmark for enhancing the level of core competence and on-going professional development of banking practitioners in treasury industry. Relevant Practitioners can develop their necessary professional knowledge, technical skills and workplace behaviours along different stages of the banking career through the ECF-TM. 8
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