Securities practitioners refer to individuals formally employed by or having labor agreements with CSRC (China Securities Regulatory Commission) approved securities institutions. These professionals must obtain securities qualification certificates from CSRC in accordance with relevant regulations before assuming positions in securities-related roles. At least two-thirds of senior management (including general managers and deputy general managers) in securities intermediary institutions must possess securities qualification certificates. Without such qualifications, except for those meeting exemption criteria, no individual may work in any securities professional position.
According to regulations, securities practitioners primarily include the following categories:
- General managers and deputy general managers of securities intermediary institutions, excluding those from securities concurrent business institutions and deputy general managers not responsible for securities operations as specified in Item 5;
- 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 agency issuance business within securities operating institutions;
- Professionals engaged in proprietary trading within securities operating institutions;
- Professionals providing investment advisory services to clients in securities operating institutions and securities investment consulting institutions;
- Floor representatives of securities operating institutions in stock exchanges;
- Managers and deputy managers of operational departments within securities clearing and registration institutions;
- Managers and deputy managers of operational departments within securities investment consulting institutions;
- Computer system administrators in various securities intermediary institutions;
- Other practitioners requiring qualification confirmation as determined by CSRC;
The CnOpenData Securities Asset Management Company Employee Information dataset contains fundamental information and career history changes of securities practitioners since 2003, including 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), and Deregistration Date (离职登记日期).
Time Coverage
2003.08-2023.5.30
Field Display
Sample Data
Basic Information Table of Securities Asset Management Company Practitioners
Career History Change Table of Securities Asset Management Company Practitioners
Data Update Frequency
Annual Update