Securities practitioners refer to individuals formally employed by or having labor agreements with financial institutions legally approved by the China Securities Regulatory Commission (CSRC). These professionals must obtain securities practitioner qualification certificates from the CSRC in accordance with relevant regulations before assuming positions in securities-related roles. At least two-thirds of senior management personnel (including general managers and deputy general managers) in securities intermediary institutions must hold valid qualification certificates. Without such qualifications, except for personnel meeting exemption criteria, no individual is permitted to work in any securities-related position.
According to regulations, securities practitioners primarily include the following categories:
- General managers and deputy general managers of securities intermediary institutions, excluding deputy general managers not responsible for securities business in securities concurrent-operations institutions and institutions specified in Item 5;
- Managers and deputy managers of internal securities business departments within securities operating institutions;
- Managers and deputy managers of securities branch offices under securities operating institutions;
- Professionals engaged in securities underwriting and issuance within securities operating institutions;
- Professionals engaged in securities proprietary trading within securities operating institutions;
- Professionals providing investment advisory services to clients in securities operating institutions and securities investment advisory institutions;
- Floor representatives of securities operating institutions at stock exchanges;
- Managers and deputy managers of operational departments within securities clearing and registration institutions;
- Managers and deputy managers of operational departments within securities investment advisory institutions;
- IT management personnel in various securities intermediary institutions;
- Other practitioners requiring qualification confirmation as determined by the CSRC;
The CnOpenData Securities Investment Advisory Practitioner Information Dataset contains comprehensive records of practitioners' basic information and career history changes in securities companies since 2003, including fields such as Name (姓名), Education (学历), Registration ID (登记编号), Position (岗位), Employing Institution (执业机构), Registration Date (登记日期), and Deregistration Date (离职登记日期).
Time Coverage
August 2003 - May 30, 2023
Field Display
Sample Data
Basic Information Table of Securities Investment Advisory Practitioners
Career History Change Table of Securities Investment Advisory Practitioners
Data Update Frequency
Annual Update