1. Professionals engaged in self-employment, brokerage, underwriting, investment consulting and entrusted investment management in securities companies, including managers of relevant business departments; ?
2. Professionals engaged in fund sales, research and analysis, investment management, trading, supervision and auditing in fund management companies and fund custody institutions, including managers of relevant business departments; ?
3. Professionals engaged in fund publicity, promotion and consultation in fund sales organizations, including managers of relevant business departments; ?
4, securities investment consulting institutions engaged in securities investment consulting business professionals and their management personnel; ?
5. Professionals engaged in securities credit evaluation business in securities credit evaluation institutions and their management personnel, as well as other personnel specified by the China Securities Regulatory Commission, shall obtain a practice certificate.
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