Securities practitioners refer to individuals formally employed by or contracted with securities institutions approved by the China Securities Regulatory Commission (CSRC) in accordance with the law. Securities practitioners must obtain 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 hold securities qualification certificates. Without such qualifications, no individual—except those meeting exemption criteria—may work in any securities professional position.

  According to regulations, securities practitioners primarily include the following personnel:

• 1. General managers and deputy general managers of securities intermediary institutions, excluding deputy general managers not responsible for securities business in non-securities specialized institutions and institutions specified in Item 5;
• 2. Managers and deputy managers of internal securities business departments within securities operating institutions;
• 3. Managers and deputy managers of securities business offices under securities operating institutions;
• 4. Professionals engaged in securities agency issuance within securities operating institutions;
• 5. Professionals engaged in securities proprietary trading within securities operating institutions;
• 6. Professionals providing investment advisory services to clients within securities operating institutions and securities investment advisory institutions;
• 7. Floor representatives of securities operating institutions in stock exchanges;
• 8. Managers and deputy managers of internal business departments within securities clearing and registration institutions;
• 9. Managers and deputy managers of internal business departments within securities investment advisory institutions;
• 10. Computer management personnel of various securities intermediary institutions;
• 11. Other practitioners deemed by the CSRC to require qualification confirmation.

  CnOpenData’s Securities Investment Advisory Institution Practitioner Information Dataset encompasses basic information and career history changes of practitioners in securities firms since 2003, including fields such as Name, Education Level, Registration ID, Position, Practicing Institution, Registration Date, and Departure Registration Date.

Time Period

2003.08–2023.5.30 (updatable as needed)

Field Display

Sample Data

Basic Information Table of Securities Investment Advisory Institution Practitioners

Career History Change Table of Securities Investment Advisory Institution Practitioners

Data Update Frequency

Annual updates