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 before working in professional securities positions. At least two-thirds of senior management personnel (including general managers and deputy general managers) in securities intermediary institutions must hold this certificate. Without obtaining the qualification, except for those exempted under specific regulations, no individual is permitted to work in any professional securities role.
According to regulations, securities practitioners primarily include the following categories:
- General managers and deputy general managers of securities intermediary institutions, excluding deputy general managers in securities concurrent business institutions and institutions 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 branches under securities operating institutions;
- Professionals engaged in securities underwriting and issuance within securities operating institutions;
- Professionals engaged in proprietary securities trading within securities operating institutions;
- Professionals providing investment advisory services to clients in securities operating institutions and securities investment consulting firms;
- On-site representatives of securities operating institutions at 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;
- IT management personnel in various securities intermediary institutions;
- Other practitioners deemed by the CSRC to require qualification certification;
The CnOpenData Securities Alternative Subsidiaries Practitioner Information Dataset covers basic information and career history changes of practitioners in securities companies 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 Period
August 2003 - May 30, 2023
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 Updates