Securities practitioners refer to individuals formally employed by or contracted with securities institutions approved by the China Securities Regulatory Commission (CSRC) in accordance with the law. Securities practitioners must obtain a 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 securities practitioner qualification certificates. Without such qualification, no one may work in any securities professional position, except for those who qualify for exemptions under relevant provisions.
According to regulations, securities practitioners primarily include the following personnel:
- General managers and deputy general managers of securities intermediary institutions, excluding deputy general managers of securities concurrent operation institutions who are not responsible for securities business and those specified in item five below;
- 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 within securities operating institutions;
- Professionals engaged in securities proprietary trading within securities operating institutions;
- Professionals within securities operating institutions and securities investment consulting institutions who provide investment consulting services to clients;
- 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's practitioners' information data for securities alternative subsidiaries encompasses basic information and career history changes of practitioners in securities companies since 2003, including fields such as name, education level, registration number, position, practicing institution, registration date, and resignation registration date.
Time Period
2003.08–2023.5.30 (can be updated as needed)
Field Display
Sample Data
Basic Information Table of Practitioners in Securities Alternative Subsidiaries
Career History Change Table of Practitioners in Securities Alternative Subsidiaries
Data Update Frequency
Annual update