(1) The circumstances specified in the second paragraph of Article 131, Article 132 and Article 133 of the Securities Law.
(two) due to major violations of laws and regulations by the financial supervision department administrative punishment, the expiration of the implementation of less than 3 years;
(3) It has been revoked by the China Securities Regulatory Commission for less than 3 years;
(4) It has not been more than 2 years since it was identified as an inappropriate candidate by the China Securities Regulatory Commission;
(five) other circumstances identified by the China Securities Regulatory Commission.
Article 8 To obtain the qualifications of directors, supervisors, senior managers and heads of branches of a securities company, the following basic conditions shall be met:
(a) integrity, good conduct;
(two) familiar with securities laws, administrative regulations, rules and other normative documents, and have the necessary management ability to perform their duties. Article 9 To obtain the post qualification of directors and supervisors, in addition to the basic conditions stipulated in Article 8 of these Measures, the following conditions shall also be met:
(a) engaged in securities, finance, law, accounting work for more than 3 years or economic work for more than 5 years;
(2) Having a college degree or above.
Article 10 To obtain the post qualification of an independent director, in addition to the basic conditions stipulated in Article 8 of these Measures, the following conditions shall also be met:
(a) engaged in securities, finance, law and accounting for more than 5 years;
(2) Having a bachelor's degree or above and a bachelor's degree or above;
(3) Having the time and energy necessary to perform their duties.
Article 11 An independent director shall not have any relationship with a securities company, conflict of interest or other circumstances that may hinder independent and objective judgment.
The following persons shall not serve as independent directors of a securities company:
(a) personnel working in securities companies or their related parties, close relatives and major social relations personnel;
(2) Persons who work in the following institutions, their close relatives and major social relations personnel: units that hold or control more than 5% equity of securities companies, the top five shareholder units of securities companies, and institutions that have business ties or interests with securities companies;
(3) A natural person who holds or controls more than 65,438+0% equity of a listed securities company, a natural person shareholder among the top 65,438+00 shareholders of a listed securities company, or a natural person who controls more than 5% equity of a securities company and his close relatives;
Persons who provide financial, legal and consulting services for securities companies and their related parties and their close relatives;
(5) Persons under any of the circumstances listed in the first four items in recent 1 year;
(6) Persons who hold positions other than independent directors in other securities companies;
(seven) other personnel identified by the China Securities Regulatory Commission.
Article 12 To obtain the post qualifications of chairman, vice-chairman and chairman of the board of supervisors, in addition to the basic conditions stipulated in Article 8 of these Measures, the following conditions shall also be met:
(a) engaged in securities work for more than 3 years or financial, legal and accounting work for more than 5 years, or economic work 10 years or more;
(2) Having a bachelor's degree or above or obtaining a bachelor's degree or above;
(3) Having passed the qualification test recognized by the China Securities Regulatory Commission. Article 13 To obtain the post qualifications of general manager, deputy general manager, chief financial officer, compliance director, secretary of the board of directors, management committee, executive committee and members of similar institutions (hereinafter referred to as managers) of a securities company, in addition to the basic conditions specified in Article 8 of these Measures, the following conditions shall be met:
(a) engaged in securities work for more than 3 years, or financial, legal and accounting work for more than 5 years;
(2) Having the qualification of securities practice.
(3) Having a bachelor's degree or above or obtaining a bachelor's degree or above;
(4) Having served as the head of a securities institution department for more than 2 years, or as the head of a financial institution department for more than 4 years, or having considerable post management experience;
(5) Having passed the qualification test recognized by the China Securities Regulatory Commission. Fourteenth to obtain the qualification of the person in charge of a branch office, in addition to the basic conditions stipulated in Article 8 of these Measures, the following conditions shall also be met:
(a) engaged in securities work for more than 3 years or economic work for more than 5 years;
(2) Having the qualification of securities practice.
(3) Having a bachelor's degree or above or obtaining a bachelor's degree or above. Article 15 The legal representative of a securities company shall have the qualification of securities practice.
Article 16 Directors, supervisors and other personnel of a securities company who perform the duties of senior managers shall obtain the qualifications of senior managers.
Article 17 A person who has been engaged in securities work for more than 0/0 years or has been the head of a financial institution department for more than 8 years may apply for the qualifications of chairman, vice chairman, independent director, supervisor, senior manager and head of a branch of a securities company, and his academic qualifications may be relaxed to junior college.
Article 18 If a person with a master's degree or above in securities, finance, economic management, law, accounting and investment applies for the qualifications of directors, supervisors, senior managers and heads of branches of a securities company, the years of working in securities, finance, economy, law and accounting may be appropriately relaxed.
Article 19 A person who has served in a securities regulatory agency, a self-regulatory agency or other professional regulatory posts with securities regulatory functions for more than 8 years may be exempted from the requirements of securities practice qualification when applying for the post qualifications of senior executives and heads of branches.