1, fund sales staff
The staff of a fund sales organization refers to the personnel engaged in fund publicity, fund share sale, fund share subscription and redemption in fund management companies and fund sales organizations entrusted by fund management companies. The manager in charge of fund sales business shall obtain the qualification of fund practice.
Personnel engaged in fund promotion, fund financial consulting and other activities at the headquarters and business outlets of securities companies, commercial banks, branches and business outlets at all levels, professional fund sales institutions and securities investment consulting institutions shall obtain the qualification of fund sales business.
The above-mentioned employees need to be registered by their institutions, and no one may engage in fund sales activities without the appointment of fund managers or fund sales organizations.
2. Fund related employees
Since the Securities Investment Fund Law was revised and promulgated on 20 12, it has been clearly stipulated that fund practitioners should have the qualifications for fund practice, including senior managers of fund managers and fund custodians. At the same time, the establishment of administrators and custodians requires a quorum of qualified personnel.
In addition, the Measures for the Administration of Securities Investment Fund Sales stipulates that commercial banks, securities companies, futures companies, insurance institutions, securities investment consulting institutions and independent fund sales institutions. You must also have a certain number of employees with professional qualifications, and the department manager of the fund sales business must have it.
3. Private fund practitioners
201February 5, 2006 "Announcement on Further Regulating the Registration of Private Equity Fund Managers" clarified the relevant requirements for senior managers of private equity fund managers to have fund qualifications. All kinds of private fund managers engaged in private securities investment fund business, and their senior managers (including legal representative, managing partner (appointed representative), general manager, deputy general manager, compliance/risk control person in charge, etc.). ) should obtain the qualification of fund practice. All kinds of private fund managers engaged in non-private securities investment fund business shall have at least two senior executives who have obtained the qualification of fund practice, and their legal representatives \ executive partners (appointed representatives) and compliance \ risk control leaders have obtained the qualification of fund practice. Compliance \ The person in charge of risk control of various private equity fund managers shall not engage in investment business.