According to the Notice on Matters Related to Applying for the Qualification of Futures Investment Consulting Business, a futures operating institution (hereinafter referred to as the institution) applies for the qualification of futures investment consulting business on behalf of its employees (hereinafter referred to as the applicant). The specific application procedures are as follows:
First, the preliminary examination of institutions
1. Log in to the "Industry Information Management Platform of China Futures Association" (hereinafter referred to as "Industry Information Management Platform"), fill in, check and review the relevant information provided by the applicant in the industry information management platform, and ensure the truthfulness, accuracy and completeness of the information.
2. Check whether the applicant has a bachelor's degree recognized by the national education department when taking the futures investment analysis exam, and scan the applicant's academic certificate into the column of "academic certificate" of the industry information management platform.
3, review whether the applicant has been engaged in futures business for two years, and issue a certificate.
4. Examine whether the applicant has received criminal punishment or administrative punishment from China Securities Regulatory Commission and other financial regulatory agencies in the last three years, and issue a certificate.
5. Archive the above certification materials for future reference.
Second, institutions submit applications.
After completing the review of the applicant's basic information on the industry information management platform of the Association, the institution logs into the column of "Qualification Management of Investment Consulting Business" on the industry information management platform, selects the applicant and clicks "Apply for Qualification".
Third, related audit.
The association shall review the application materials submitted by the institution, and may require the institution to submit relevant certification materials when necessary. The association shall complete the review within 10 working days after the institution submits the application.
Fourth, the qualification publicity
For the applicants who pass the examination, the Association will register their investment consulting qualifications, assign their investment consulting qualification numbers, and publicize them through the Association's website or designated media.
Verb (abbreviation for verb) daily management
The day-to-day management of futures investment consulting business qualifications shall be governed by the Measures for the Administration of Futures Practitioners and the Rules for the Administration of Futures Practitioners' Qualifications (for Trial Implementation).