1. The person applying for the practice certificate shall obtain the qualification, be employed by a securities institution, and meet the relevant conditions such as character and reputation as stipulated in Article 10 of the Measures;
2. Those who apply for securities investment consulting business shall also have China nationality, bachelor degree or above and more than two years of securities experience;
3. To apply for engaging in securities credit evaluation business, one shall have more than two years of securities experience and meet the relevant requirements of China Securities Regulatory Commission.
Practice certificate shall be applied to China Securities Industry Association through affiliated institutions. The association shall, within 30 days from the date of receiving the application for practicing, file with the China Securities Regulatory Commission and issue a practicing certificate. Practice certificates are not classified. A person who has obtained a practice certificate may engage in the securities business operated by the institution on behalf of the employing institution upon the appointment of the institution.
If a person who has obtained a practicing certificate has not been employed in a public institution for three consecutive years, his practicing certificate shall be cancelled by the association; Those who practice again shall participate in the practice training organized by the association and re-apply for the practice certificate.
Extended data application
(1) The applicant logs into the association's practice certificate management system, fills in the Application Form for Practice Certificate, and submits it to the institution together with the printed written application form and other application materials specified in Article 8;
(two) the qualification administrator of the institution shall make a preliminary confirmation of the Application Form for Practice Certificate, and the written application form shall be kept by the institution for future reference, and the electronic application form shall be submitted to the Association;
(3) The Association shall examine the application form for practicing certificate submitted by the institution, and may require the institution to submit a written application form and relevant certification materials when necessary. The association shall complete the examination within 30 days after receiving the complete application materials.
Application material
The applicant shall submit the following application materials to the institution:
(1) Application form for practicing certificate;
(2) a copy of the ID card;
(three) a copy of the academic certificate;
(4) Other materials as stipulated by the Association.
References:
Baidu Encyclopedia-Securities Qualification Certificate