Securities practitioners refer to individuals formally employed by securities institutions approved by the China Securities Regulatory Commission (CSRC) or those who have signed service agreements with such institutions. 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 the senior management personnel (including general managers and deputy general managers) in securities intermediary institutions must hold securities qualification certificates. Without obtaining securities industry qualifications, except for those who meet exemption provisions, no one 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 responsible for non-securities business in securities concurrent business institutions and institutions specified in item 5 of this provision;
2. Managers and deputy managers of internal securities business departments within securities operating institutions;
3. Managers and deputy managers of securities business branches 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 engaged in providing investment consulting services to clients within securities operating institutions and securities investment consulting 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 consulting institutions;
10. Computer management personnel of various securities intermediary institutions;
11. Other practitioners deemed by the CSRC to require qualification confirmation.

This dataset contains basic information and change records of personnel from securities institutions since 2003. Additionally, based on the type of securities institutions, the basic information table and career experience change table are categorized into four sections: securities companies, securities asset management companies, securities investment consulting institutions, and credit rating agencies.

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Time Range

2003-2022.2 (updatable as needed)

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Data Structure Presentation

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Field Presentation

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Sample Data

Due to the numerous tables, only the securities company section is displayed on this page.

Basic Information Table of Practitioners (Analysts and Sponsor Representatives) in Securities Companies

Career Experience Change Table of Practitioners (Analysts and Sponsor Representatives) in Securities Companies

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Data Update Frequency

Annual updates