Information and data of securities practitioners
1. Data introduction
Securities practitioners refer to those who are formally employed by securities practitioners legally approved by the China Securities Regulatory Commission or have signed labor service agreements with them. Securities practitioners must obtain securities practitioner qualification certificates from the China Securities Regulatory Commission in accordance with relevant regulations before they can work in various securities professional positions; Professional qualification certificate; without obtaining the professional qualification of the securities industry, no one is allowed to work in various securities professional positions, except those who meet the exemption requirements.
According to regulations, securities practitioners mainly refer to the following personnel:
- 1. The chief and deputy general managers of securities intermediary institutions, except for the deputy general managers who are not in charge of securities business among securities concurrently operating institutions and institutions specified in Item 5 of this paragraph;
- 2. The chief and deputy managers of each securities business department in a securities business institution;
- 3. Principal and deputy managers of the securities business department under the securities business institution;
- 4. Professionals engaged in securities agency issuance business in securities operating institutions;
- 5. Professionals engaged in self-operated securities business in securities operating institutions;
- 6. Professionals engaged in providing investment consulting services to clients in securities operating institutions and securities investment consulting institutions;
- 7. Listing representatives of securities business institutions in the stock exchange;
- 8. Principal and deputy managers of various business departments in securities clearing and registration institutions;
- 9. Principal and deputy managers of various business departments in securities investment consulting institutions;
- 10. Computer management personnel of various securities intermediary institutions;
- 11. Other practitioners deemed necessary by the CSRC for qualification confirmation;
This data contains the basic information and change information of securities practitioners since 2003. At the same time, according to the type of securities institutions, we divide the personnel basic information table and personnel career experience change table into securities companies, securities asset management companies, and securities investment companies. Consulting agencies and credit rating agencies are divided into four parts.
2. Time interval
2003-2023.2
3. Field display
4. Sample data
Basic Information Form for Securities Practitioners
Occupational History Change Form of Securities Practitioners
5. Data update frequency
Annual update
6. Data source website
https://www.cnopendata.com/data/m/recent/chinese-securities-practitioner-information.html