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 Securities practitioners refer to those who are formally employed by or sign labor service agreements with securities practitioners approved by the China Securities Regulatory Commission in accordance with the law. Securities practitioners must obtain a securities practitioner qualification certificate from the China Securities Regulatory Commission in accordance with relevant regulations before they can work in various securities professional positions; at least two-thirds of the general managers, deputy general managers and senior managers of securities intermediary institutions should have securities qualification certificates. Practicing Qualification Certificate; Without obtaining the securities industry qualification, no one is allowed to work in various securities professional positions except those who meet the exemption requirements.

 According to regulations, securities practitioners mainly refer to the following personnel:

  • 1. The general manager and deputy general manager of a securities intermediary institution, except for the deputy general manager who is not responsible for securities business in concurrent securities operating institutions and institutions specified in Item 5 of this paragraph;
  • 2. The securities business institution shall have chief and deputy managers of each securities business department;
  • 3. The principal and deputy managers of the securities business department under the securities operating institution;
  • 4. Professionals engaged in securities issuance agency business in securities operating institutions;
  • 5. Professionals engaged in securities proprietary business in securities operating institutions;
  • 6. Professionals in securities operating institutions and securities investment consulting institutions who are engaged in providing investment consulting services to clients;
  • 7. The listing representative of securities operating institutions in the stock exchange;
  • 8. The securities clearing and registration institution shall have chief and deputy managers of each business department;
  • 9. Securities investment consulting institutions have chief and deputy managers of each business department;
  • 10. Computer managers of various securities intermediaries;
  • 11. Other practitioners that the China Securities Regulatory Commission deems necessary to confirm their qualifications;

 CnOpenData securities asset management company employee information data contains basic information and professional experience change information of securities company practitioners since 2003, includingname, education, registration number, position, practice institution, registration date, Fields such as resignation registration dateand so on.


Time interval

2003.08-2023.5.30


Field display

Practitioner basic information table fields Practitioner career experience change table fields
Practitioner ID Practitioner ID
Name Registration number
Gender Registration date
Registration number Practice organization
Education Career positions
Registration date Registration status
Professional position ID Resignation date
Career positions
Job ownership
Internship address
Practice organization
Practice organization website
Phone number of practice institution

Sample data

Basic information form for employees of securities asset management companies

Practitioner ID Last name* Gender Registration number Education Registration date Professional position ID Career positions Job ownership Internship address Practice Organization Practice organization website Phone number of practice institution
006989 Sun* Male Z0070115060004 Master's degree 2015-06-08 0 General securities business General Office Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
007161 Zhao* Female Z0070117070010 Undergraduate 2017-07-24 0 General securities business Operation Support Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
028540 Money* Female Z0070115060027 Master's degree 2015-06-10 0 General securities business General Manager's Office Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
030804 Horse* Male Z0070815060015 Master's degree 2015-06-10 7 Investment Sponsor General Manager's Office Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
037110 Pan* Male Z0070115060018 Undergraduate 2015-06-09 0 General securities business Operation Support Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
040080 Pan* Male Z0070815060013 Undergraduate 2015-06-10 7 Investment Sponsor Operation Support Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
040107 Xu* Female Z0070115060047 Master's degree 2015-06-27 0 General securities business Operation Support Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
048038 Yang* Female Z0070120080003 Undergraduate 2020-08-27 0 General securities business Compliance and Audit Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
088080 Often* Female Z0070815060025 Undergraduate 2015-06-21 7 Investment Sponsor Fixed Income Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
092365 李* Male Z0070118050002 Master's degree 2018-05-14 0 General securities business Fixed Income Public Investment Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
098345 Easy* Male Z0070121050003 Master's degree 2021-05-25 0 General securities business General Manager's Office Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
102355 陈* Male Z0070122100007 Master's degree 2022-10-19 0 General securities business Equity Private Equity Investment Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
102938 王* Female Z0070115060023 Master's degree 2015-06-10 0 General securities business Strategic Products Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
110326 王* Male Z0070121040003 PhD candidate 2021-04-01 0 General securities business General Office Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
111071 strict* Female Z0070121060003 Master's degree 2021-06-03 0 General securities business Investment Banking Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
11641 陈* Male Z0070817070001 Master's degree 2017-07-24 7 Investment Sponsor Fixed Income Research Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
121785 王* Male Z0070115120003 Master's degree 2015-12-20 0 General securities business General Office Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
123007 Sun* Male Z0070116030001 College College 2016-03-05 0 General securities business General Office Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
124003 He* Female Z0070116050007 Undergraduate 2016-05-17 0 General securities business Operation Support Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
125459 王* Male Z0070116050008 Undergraduate 2016-05-30 0 General securities business Operation Support Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
132167 Liu* Male Z0070119090002 Master's degree 2019-09-05 0 General securities business General Manager's Office Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
132185 Hong* Female Z0070119080004 Master's degree 2019-08-26 0 General securities business Risk Management Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
132547 Zhu* Female Z0070116020002 Master's degree 2016-02-21 0 General securities business Operation Support Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
138749 陈* Male Z0070121030002 Master's degree 2021-03-02 0 General securities business Fixed Income Research Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
140942 Palace* Female Z0070116060002 Master's degree 2016-06-21 0 General securities business Fixed Income Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
142987 王* Female Z0070116050004 Master's degree 2016-05-09 0 General securities business Fixed Income Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
143005 李* Female Z0070116070005 Master's degree 2016-07-16 0 General securities business Financial Management Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
143372 Xia* Male Z0070117050009 Master's degree 2017-05-22 0 General securities business Fixed Income Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
143378 Liu* Female Z0070116050003 Master's degree 2016-05-08 0 General securities business Fixed Income Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
143582 张* Female Z0070116050006 Master's degree 2016-05-14 0 General securities business Fixed Income Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
143919 week* Male Z0070116050005 Master's degree 2016-05-09 0 General securities business Fixed Income Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
144858 Lu* Female Z0070122090010 Master's degree 2022-09-14 0 General securities business Human Resources Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
148153 Zheng* Female Z0070819080001 Master's degree 2019-08-12 7 Investment Sponsor Fixed Income Private Equity Investment Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
148589 Zeng* Male Z0070116060001 Undergraduate 2016-06-11 0 General securities business Marketing Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
150612 张* Female Z0070121110008 Master's degree 2021-11-09 0 General securities business Institutional Sales Headquarters Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
152359 Lu* Female Z0070116080004 Master's degree 2016-08-22 0 General securities business Compliance and Audit Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
155845 Zhao* Male Z0070122050001 Master's degree 2022-05-06 0 General securities business Risk Management Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
160126 Deng* Male Z0070120030015 Master's degree 2020-03-23 0 General securities business Equity Research Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
167319 Yang* Female Z0070120120002 Master's degree 2020-12-24 0 General securities business Innovation Investment Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
174510 Liu* Female Z0070117050011 Master's degree 2017-05-23 0 General securities business Marketing Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
175835 Block* Female Z0070116090002 Master's degree 2016-09-16 0 General securities business Operation Support Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
177666 Yao* Female Z0070122070007 Undergraduate 2022-07-11 0 General securities business Zhejiang Marketing Center Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
184585 罗* Female Z0070116110003 Master's degree 2016-11-30 0 General securities business Operation Support Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
186421 Gold* Male Z0070117060008 Undergraduate 2017-06-27 0 General securities business Operation Support Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
190005 张* Female Z0070116120001 Undergraduate 2016-12-03 0 General securities business Innovation Investment Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
191931 陈* Male Z0070118100003 Undergraduate 2018-10-13 0 General securities business E-Commerce Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
197817 Pan* Male Z0070116120004 Master's degree 2016-12-31 0 General securities business Operation Support Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
19901338 王* Female Z0070121110016 Undergraduate 2021-11-15 0 General securities business Institutional Sales Headquarters Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
19902494 王* Male Z0070123010003 Master's degree 2023-01-13 0 General securities business Beijing Branch Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336
19906498 Hole* Male Z0070117060009 Undergraduate 2017-06-27 0 General securities business Information Technology Department Caitong Securities Asset Management Co., Ltd. www.ctzq.com 95336

Career experience change table of employees in securities asset management companies

Practitioner ID Registration number Registration date Practice Organization Career positions Registration Status
001619 Z0060116040002 2016-04-09 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
009601 Z0060115030007 2015-03-15 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Changes within the organization
009601 Z0060117010003 2017-01-30 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
011100 Z0060815030008 2015-03-15 Huatai Securities (Shanghai) Asset Management Co., Ltd. Investment Sponsor Changes within the organization
011100 Z0060119120005 2019-12-31 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
011291 Z0060122030005 2022-03-18 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
012315 Z0060120100005 2020-10-22 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
013533 Z0060122090007 2022-09-26 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
016771 Z0060115070003 2015-07-14 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
031532 Z0060116110001 2016-11-01 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
045342 Z0060815030009 2015-03-15 Huatai Securities (Shanghai) Asset Management Co., Ltd. Investment Sponsor Normal
074145 Z0060115080005 2015-08-30 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Resignation and cancellation
075900 Z0060115060001 2015-06-07 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
079421 Z0060122090010 2022-09-27 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
079617 Z0060119040004 2019-04-13 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
079631 Z0060115030021 2015-03-25 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
079638 Z0060115030019 2015-03-25 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Resignation and cancellation
080306 Z0060115040018 2015-04-07 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
080401 Z0060115030015 2015-03-19 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Resignation and cancellation
080592 Z0060815030002 2015-03-15 Huatai Securities (Shanghai) Asset Management Co., Ltd. Investment Sponsor Changes within the organization
080592 Z0060119120001 2019-12-08 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
087519 Z0060116100012 2016-10-29 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
089785 Z0060815030005 2015-03-15 Huatai Securities (Shanghai) Asset Management Co., Ltd. Investment Sponsor Normal
093924 Z0060815060001 2015-06-21 Huatai Securities (Shanghai) Asset Management Co., Ltd. Investment Sponsor Normal
094384 Z0060122030008 2022-03-31 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
095327 Z0060115120003 2015-12-26 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
096519 Z0060816070001 2016-07-30 Huatai Securities (Shanghai) Asset Management Co., Ltd. Investment Sponsor Normal
100289 Z0060115030028 2015-03-30 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
100730 Z0060115030010 2015-03-15 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
100737 Z0060815030012 2015-03-15 Huatai Securities (Shanghai) Asset Management Co., Ltd. Investment Sponsor Normal
101224 Z0060118100008 2018-10-23 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
104549 Z0060115090009 2015-09-25 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
105153 Z0060815090002 2015-09-20 Huatai Securities (Shanghai) Asset Management Co., Ltd. Investment Sponsor Normal
105290 Z0060121030006 2021-03-22 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
105826 Z0060120120003 2020-12-03 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
107899 Z0060116010006 2016-01-24 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
109655 Z0060121090002 2021-09-16 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
109780 Z0060116020003 2016-02-04 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Changes within the organization
109780 Z0060118040004 2018-04-15 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
115652 Z0060122030006 2022-03-18 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
117296 Z0060118060004 2018-06-05 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
117680 Z0060119070002 2019-07-15 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Changes within the organization
117680 Z0060819090002 2019-09-11 Huatai Securities (Shanghai) Asset Management Co., Ltd. Investment Sponsor Normal
119352 Z0060121110004 2021-11-17 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
121188 Z0060817100003 2017-10-29 Huatai Securities (Shanghai) Asset Management Co., Ltd. Investment Sponsor Normal
121987 Z0060115120001 2015-12-21 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
122433 Z0060120050002 2020-05-29 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Normal
122918 Z0060115120006 2015-12-27 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Resignation and cancellation
123045 Z0060116010001 2016-01-04 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Changes within the organization
123045 Z0060118100005 2018-10-23 Huatai Securities (Shanghai) Asset Management Co., Ltd. General securities business Resignation and cancellation

Data update frequency

Annual Update

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