Introduction to information data of employees of securities investment consulting institutions

 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 obtain 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 investment consulting agency 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

Sample data

Basic Information Form for Employees of Securities Investment Consulting Institutions

Career experience change table of employees of securities investment consulting institutions

Data update frequency

Annual Update

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