Securities practitioners refer to individuals formally employed by or having labor agreements with securities institutions approved by the China Securities Regulatory Commission (CSRC). They must obtain securities practitioner qualification certificates from the CSRC in accordance with relevant regulations before working in various securities-related positions. At least two-thirds of senior management personnel (including general managers and deputy general managers) in securities intermediaries must hold securities practitioner qualification certificates. Without such qualifications, except for those meeting exemption criteria, no individual is permitted to work in any securities-related professional role.
According to regulations, securities practitioners primarily include the following personnel:
- General managers and deputy general managers of securities intermediaries, excluding deputy general managers not responsible for securities business in securities-concurrent institutions and institutions specified in Item 5;
- Managers and deputy managers of internal securities business departments within securities operating institutions;
- Managers and deputy managers of securities branches under securities operating institutions;
- Professionals engaged in securities proxy issuance within securities operating institutions;
- Professionals engaged in securities proprietary trading within securities operating institutions;
- Professionals providing investment advisory services to clients in 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 of various securities intermediaries;
- Other practitioners requiring qualification confirmation as deemed by the CSRC;
The CnOpenData Securities Company Practitioner Information Dataset contains basic information and career history changes of practitioners since 2003, including fields such as Name(姓名), Education Background(学历), Registration ID(登记编号), Position(岗位), Practicing Institution(执业机构), Registration Date(登记日期), and Departure Registration Date(离职登记日期).
Time Coverage
2003.08-2023.5.30
Field Display
Sample Data
Basic Information Table of Securities Company Practitioners
Career History Change Table of Securities Company Practitioners
Data Update Frequency
Annual Updates