First, the purpose and importance of exploration
The main purpose of securities industry association employees' inquiry is to ensure the qualifications and credibility of securities practitioners, prevent lawless elements from entering the market and protect the interests of investors. Through the inquiry system, we can verify the qualification certification, work experience, violation records and other information of employees, providing important reference for investors.
Second, the query method and process
Generally speaking, employees of the Securities Industry Association can make inquiries in the following ways:
1. Log on to the official website Securities Association and enter the employee inquiry system.
2. Enter key information, such as employee's name and certificate number.
3. The system displays the query results, including the employee's qualification certificate, work experience and violation records.
In the process of inquiry, we should pay attention to protecting personal privacy and information security and avoid revealing sensitive information.
Third, the application of query results
The inquiry results of employees of the securities industry association have important application value for investors, securities companies and regulatory agencies.
For investors, the query results can help them understand the qualifications and credibility of employees and choose reliable investment consultants or brokers.
For securities companies, the query results can be used as the basis for employee recruitment, assessment and management to ensure that the company has a high-quality and compliant workforce.
For regulators, the query results will help them to strengthen the supervision of the securities market, find and investigate violations in time, and safeguard market order and investors' rights and interests.
To sum up:
The inquiry of employees of the securities industry association is an important means to ensure the fairness, justice and transparency of the securities market, and also an important way to safeguard the rights and interests of investors. Through the inquiry system, we can verify the qualifications and credibility of employees and provide important reference for investors. At the same time, the query results also have important application value for securities companies and regulatory agencies, which is helpful to strengthen market supervision and management of employees.
Legal basis:
People's Republic of China (PRC) Securities Law
Article 123 stipulates:
The Securities Industry Association is a self-regulatory organization of the securities industry and a social group legal person. Securities companies should join the Securities Industry Association. The Securities Industry Association shall perform the following duties: ... (5) Organizing the level examination for securities practitioners; ……
Measures for the administration of securities practitioners' qualifications
Article 4 provides that:
Securities practitioners must obtain qualification certificates before they can engage in securities business.