Securities practitioners refer to individuals formally employed by or having signed service agreements with securities institutions approved by the China Securities Regulatory Commission (CSRC) according to law. Securities practitioners must obtain Securities Practitioner Qualification Certificates from the CSRC in accordance with relevant regulations before working in various securities professional positions. At least two-thirds of senior management personnel (including general managers and deputy general managers) in securities intermediary institutions must possess Securities Practitioner Qualification Certificates. Without obtaining securities qualification, except for those eligible for exemptions, no individual is permitted to work in any securities professional position.
According to regulations, securities practitioners primarily include the following personnel:
- General managers and deputy general managers of securities intermediary institutions, excluding deputy general managers responsible for non-securities business in securities concurrent operation institutions and institutions specified in Item 5;
- Chief and deputy managers of internal securities business departments within securities operating institutions;
- Chief and deputy managers of securities business branches under securities operating institutions;
- Professionals engaged in securities proxy 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 consulting institutions;
- Floor representatives of securities operating institutions in stock exchanges;
- Chief and deputy managers of internal business departments in securities clearing and registration institutions;
- Chief and deputy managers of internal business departments in securities investment consulting institutions;
- Computer management personnel in various securities intermediary institutions;
- Other practitioners requiring qualification confirmation as determined by the CSRC;
The CnOpenData Practitioner Information Data in Securities Market Credit Rating Institutions contains basic information and career history changes of practitioners in securities companies since 2003, including fields such as Name (姓名), Education Background (学历), Registration Number (登记编号), Position (岗位), Practicing 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 Practitioners in Securities Market Credit Rating Institutions
Career History Change Table of Practitioners in Securities Market Credit Rating Institutions
Data Update Frequency
Annual Update