Securities practitioners must obtain the qualification certificate of securities practitioners in China Securities Regulatory Commission in accordance with the relevant provisions before they can engage in various securities professional positions; At least two-thirds of the deputy general managers, deputy general managers and other senior managers of securities intermediaries shall obtain securities qualification certificates; Without obtaining the qualification of securities industry, except those who meet the requirements of exemption from examination, they shall not engage in various securities professional positions.
Extended data:
Code of conduct for securities practitioners:
1, love my job, accurately carry out customer instructions, and keep secrets for customers. Customers are the professional objects of the securities industry, and their orders represent their investment decisions and are related to their investment interests. Securities practitioners should accurately, timely and completely implement customer instructions.
Clients' funds and securities are their legal property, and securities institutions are entrusted by clients to keep these properties on their behalf according to law. Except for illegal acts, securities practitioners shall keep the clients' investments, funds and securities holdings strictly confidential and shall not disclose them to others at will, except as otherwise provided by relevant laws.
2. Study hard to improve your professional level and work efficiency. Securities business has strong professional characteristics and certain technical operation requirements. At the same time, we constantly explore and innovate, introduce new varieties and develop new businesses.
This requires employees to have a solid professional knowledge base and a wide range of knowledge. They should constantly study and study their own business, improve their professional quality and knowledge level, meet the requirements of the securities market for employees, and improve their competitiveness while serving customers better.
3. Abide by national laws and various systems related to securities business. The securities industry is closely related to the interests of the state and investors. The relevant laws of the state and the rules and regulations formulated by the securities administration department are the legal and institutional guarantee for the legitimate rights and interests of all economic entities, and are also the basis for securities business operation. Securities practitioners should consciously abide by the law, so as to restrain and regulate their own behavior.
4. Actively safeguard the legitimate rights and interests of investors and cherish the professional honor of the securities industry. Safeguarding the legitimate rights and interests of investors is the responsibility of the securities industry and the basic condition for its development. "Everything is for customers" is not only the key for businesses to win, but also the basis for establishing a good image of the industry. It is the proper behavior of every securities practitioner to establish a sense of professional honor and cherish the professional honor of the securities industry.
Baidu encyclopedia-securities practitioners
Baidu Encyclopedia-Securities Qualification Certificate