Securities practitioners refer to those who are formally employed by securities institutions approved by the China Securities Regulatory Commission in accordance with the law or who have signed a labor agreement with them. Securities practitioners must obtain securities practitioner qualification certificates 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 and deputy general managers of securities intermediaries should obtain securities practitioner qualification certificates; without obtaining securities industry qualifications, no one may work in various securities professional positions except those who meet the exemption requirements.

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

• 1. General managers and deputy general managers of securities intermediary institutions, except for the deputy general managers who are not responsible for securities business in securities intermediary institutions and institutions specified in the fifth item of this paragraph;
• 2. General managers and deputy general managers of securities business departments in securities operating institutions;
• 3. General managers and deputy general managers of securities business departments under securities operating institutions;
• 4. Professionals engaged in securities agency issuance business in securities operating institutions;
• 5. Professionals engaged in securities proprietary business in securities operating institutions
• 6. Professionals engaged in providing investment consulting services to clients in securities operating institutions and securities investment consulting institutions;
• 7. Representatives of securities operating institutions in stock exchanges;
• 8. Managers and deputy managers of various business departments in securities clearing and registration institutions;
• 9. Managers and deputy managers of various business departments in securities investment consulting institutions;
• 10. Computer management personnel of various securities intermediaries;
• 11. Other practitioners that the CSRC considers needing to confirm their qualifications;

  CnOpenData Securities Investment Consulting Institutions Practitioners Information Data contains the basic information and career experience changes of securities company practitioners since 2003, including fields such as name, education, registration number, position, practice institution, registration date, and resignation registration date.

Time interval

2003.08-2023.5.30

Field display

Sample data

Basic information table of practitioners of securities investment consulting institutions

Career experience change table of securities investment consulting agency practitioners

Data Update Frequency

Annual Update

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