&; Securities practitioners refer to individuals formally employed by securities institutions duly approved by the China Securities Regulatory Commission (CSRC) or those who have signed labor agreements with such institutions. Securities practitioners must obtain securities 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 intermediaries must hold securities qualification certificates. Without obtaining securities industry qualifications, except for those exempted under specific 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 intermediaries, excluding deputy general managers of securities concurrent business institutions and those specified in Item 5 of this clause 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 business departments 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 intermediaries;
- Other practitioners deemed by the CSRC to require qualification confirmation.
The CnOpenData Securities Asset Management Company Employee Information dataset includes basic information and career change records of securities company practitioners since 2003, covering fields such as name, education level, registration number, position, practicing institution, registration date, and resignation registration date.
Time Period
2003.08-2023.5.30 (updatable as needed)
Field Display
Sample Data
Basic Information Table of Securities Asset Management Company Employees
Career Change Records Table of Securities Asset Management Company Employees
Data Update Frequency
Annual update