Securities practitioners refer to individuals formally employed by securities business institutions approved by the China Securities Regulatory Commission (CSRC) or those who have signed labor agreements with such institutions. Securities practitioners must obtain Securities Practitioner 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 Practitioner Qualification Certificates. Without such qualifications, except for personnel meeting exemption requirements, no individual is permitted to work in any securities professional position.
According to regulations, securities practitioners primarily include the following categories:
- Chief and Deputy General Managers of securities intermediary institutions, excluding deputy general managers in securities concurrent business institutions and those specified in Item 5 below who are not responsible for securities business;
- Managers and Deputy Managers of internal securities business departments within securities operating institutions;
- Managers and Deputy Managers of securities branch offices under securities operating institutions;
- Professionals engaged in securities proxy issuance business at securities operating institutions;
- Professionals engaged in securities proprietary trading business at securities operating institutions;
- Professionals providing investment advisory services to clients at securities operating institutions and securities investment consulting institutions;
- Market representatives of securities operating institutions at stock exchanges;
- Managers and Deputy Managers of business departments within securities clearing and registration institutions;
- Managers and Deputy Managers of business departments within securities investment consulting institutions;
- Computer management personnel (电脑管理人员) of various securities intermediary institutions;
- Other practitioners deemed by the CSRC to require qualification verification.
This dataset contains basic information and career change records of personnel in securities business institutions since 2003. Based on institution types, the basic information tables and career experience change tables are categorized into four sectors: securities companies, securities asset management companies, securities investment consulting institutions, and credit rating agencies.
Time Coverage
2003 - February 2022
Data Structure Demonstration
Field Description
Sample Data
Due to the extensive number of tables, only the securities companies section is displayed on this page.
Securities Companies (Analysts, Sponsors) Basic Information Table
Securities Companies (Analysts, Sponsors) Career Experience Change Table
Data Update Frequency
Annual Updates