Who are the professionals engaged in securities business?

(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; Professionals engaged in fund publicity, sales promotion and consultation in fund sales institutions, including managers of relevant business departments;

(3) Professionals engaged in securities investment consulting business in securities investment consulting institutions and their management personnel;

(4) Professionals engaged in securities credit evaluation business in securities credit evaluation institutions and their management personnel;

(five) other personnel who need to obtain qualifications and practice certificates as stipulated by the China Securities Regulatory Commission.