I. Introduction to the Examination In order to further standardize the fund sales behavior and improve the business level and professional quality of fund sales personnel, the fund qualification examination focuses on practical application, mainly assessing the necessary basic knowledge and professional skills of fund employees. The examination covers seven basic knowledge, including fund industry overview, laws and regulations and professional ethics, investment management, operation management, sales management, internal control and compliance management, and internationalization.
In 2022, the examination time for fund qualification is expected to be March, June and 65438+1October (refer to 202 1 examination time), and the specific examination time has not been announced.
Second, those who apply for the qualification examination of conditional funds are mainly those who are engaged in fund sales within fund management companies, or those who want to engage in this profession. The registration conditions are:
(1) Deadline for registration 18 years old;
(2) Having a high school education or above;
(3) Having full capacity for civil conduct;
(4) Other conditions stipulated by the China Securities Regulatory Commission.
Three. Examination content The qualification examination for fund practitioners includes three subjects:
Subject 1: fund laws and regulations, professional ethics and business norms;
Subject 2: Basic knowledge of securities investment funds;
Subject 3: Basic knowledge of private equity investment funds.
The examination time is 120 minutes, the examination questions are all multiple choice questions, the number of questions in each subject is 100, the score of each question is 1, the total score of the test paper is 100, and the passing line is 60.
Candidates are eligible to be registered as fund practitioners if they pass the examination of subject 1 and subject 2, or pass the examination of subject 1 and subject 3.
Four, certificate management subject 1, subject 2 after passing the examination, you can apply to the fund industry association for registered fund qualification within four years through your institution. Those who have not applied for the qualification of registered funds through institutions for more than four years need to re-take the qualification examination or make up the follow-up training hours specified in the last two years before registration. Personnel who have obtained the qualification for fund practice shall complete the follow-up training of 15 class hours every year in accordance with relevant regulations, and participate in the annual qualification inspection organized by the association through their institutions as required.
Verb (abbreviation of verb) certificate value fund qualification certificate is a necessary certificate to enter the fund industry. Only with this certificate can you be employed by fund companies and financial institutions. It is a reflection of personal financial quotient level and a knowledge tool for personal investment and profit.
The qualification certificate of fund practice can engage in fund-related work in financial institutions. Including:
Fund managers, managers, business personnel and salesmen of commercial banks (including foreign-funded corporate banks in China), securities companies, futures companies, insurance institutions, securities investment consulting institutions, independent fund sales institutions and other institutions recognized by the China Securities Regulatory Commission;
Personnel engaged in the operation and maintenance of funds and fund sales information management platform system by fund sales institutions;
Employees of private fund managers, etc.
Six, the course recommended fund qualification examination "fund laws and regulations, professional ethics and business norms" computer examination question bank.
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Fund qualification examination "Basic knowledge of securities investment funds" computer examination question bank
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Fund qualification examination "Basic knowledge of private equity investment funds" computer examination question bank
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Fund qualification examination (three subjects in one) computer examination question bank
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