Persons who have passed the general qualification examination. The general qualification examination includes "Basic Knowledge of Financial Market" and "Basic Laws and Regulations of Securities Market", and a score of 60 or above is considered as qualified.
Securities investment consulting examination subject: securities investment consulting business
To apply for securities investment consulting business (investment consultant), in addition to passing the prescribed subject examination, the following conditions shall also be met:
(a) At least 65-438+08 years old;
(2) Bachelor degree or above;
(3) Having full capacity for civil conduct;
(4) It has been employed by a public institution;
(5) It has not received any criminal punishment or major administrative punishment related to securities business;
(6) There is no circumstance specified in Article 132 of the Securities Law of People's Republic of China (PRC);
(seven) has not been identified by the China Securities Regulatory Commission as a prohibited person in the securities market, or has passed the prohibition period;
(8) Having China nationality;
(nine) engaged in securities business for more than 2 years.
(10) Other conditions stipulated by laws, administrative regulations and China Securities Regulatory Commission.
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