1, General Qualification Examination (Entry Qualification Examination):
There are two examination subjects, named "Basic Laws and Regulations of Securities Market" and "Basic Knowledge of Financial Market" respectively.
2, special business qualification examination (professional qualification examination):
Each vocational qualification examination has 1 corresponding examination subjects. The examination subjects of the competency examination for sponsor representatives, securities analysts and securities investment consultants are investment banking, publishing securities research reports and securities investment consulting respectively.
The special business qualification examination, that is, the "professional qualification examination", is mainly aimed at people who have entered the securities industry, and mainly tests whether the candidates have the professional knowledge, professional skills and professional ethics commonly used by professionals engaged in securities business to perform their statutory duties.
3, management qualification examination (management qualification examination):
There are 1 examination subjects in each management qualification examination, namely, the qualification examination for senior managers of securities companies, the qualification examination for senior managers of securities rating business and the competency examination for compliance managers of securities companies.
The qualification examination for managers, that is, the "qualification test for managers", is mainly aimed at the senior managers of securities institutions to be employed, and mainly tests whether the candidates have mastered the management processes and standards commonly used by securities institutions to perform their management duties.