Securities practitioners refer to individuals formally employed by securities institutions approved by the China Securities Regulatory Commission (CSRC) or those who have signed labor agreements with such institutions. Securities practitioners must obtain the Securities Practitioner Qualification Certificate 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 the Securities Practitioner Qualification Certificate. Without obtaining securities industry qualification, except for those meeting exemption provisions, no individual may work in any securities professional position.
According to regulations, securities practitioners primarily include the following personnel:
- General managers and deputy general managers of securities intermediary institutions, excluding deputy general managers not responsible for securities business in securities concurrent operation institutions and institutions specified in item 5 of this provision;
- Managers and deputy managers of internal securities business departments within securities operating institutions;
- Managers and deputy managers of securities business offices under securities operating institutions;
- Professionals engaged in securities agency issuance business within securities operating institutions;
- Professionals engaged in securities proprietary trading business within securities operating institutions;
- Professionals engaged in providing investment advisory services to clients within securities operating institutions and securities investment consulting institutions;
- Floor representatives of securities operating institutions in stock exchanges;
- Managers and deputy managers of internal business departments within securities clearing and registration institutions;
- Managers and deputy managers of internal business departments within securities investment consulting institutions;
- Computer management personnel in various securities intermediary institutions;
- Other practitioners deemed by the CSRC to require qualification confirmation.
CnOpenData Securities Company Practitioner Information Dataset contains basic information and career change records of practicing personnel in securities companies since 2003. It includes fields such as Name (姓名), Education Background (学历), Registration Number (登记编号), Position (岗位), Practicing Institution (执业机构), Registration Date (登记日期), De-registration Date (离职登记日期).
Time Period
August 2003 - May 30, 2023 (updatable as needed)
Field Display
Sample Data
Basic Information Table of Securities Company Practitioners
Career Change Records Table of Securities Company Practitioners
Data Update Frequency
Annual Updates