Candidates who have passed the securities professional qualification examination shall attend and complete the corresponding business training organized by China Securities Industry Association every year. Failing to complete the corresponding business training as required, the qualified results are no longer valid.
Securities examination subjects:
1. The general securities qualification examination subjects are: basic laws and regulations of the securities market and basic knowledge of the financial market.
2. The subjects of the professional qualification examination for securities practitioners are: publishing securities research reports (competency examination for securities analysts), securities investment consulting (competency examination for securities investment consultants) and investment banking.
3. The qualification examination subjects for securities business managers are: the qualification examination for senior managers of securities companies, the qualification examination for senior managers of securities rating business, and the competency examination for compliance managers of securities companies.
Information related to securities qualification examination:
1. Examination registration must meet certain requirements of academic qualifications and working years, and different types and levels of examinations have different requirements. You need proof of education and work experience when you register.
2. The main knowledge involved in the examination includes relevant laws and regulations, basic knowledge of securities market, risk management, product characteristics and pricing, ethics and so on. And the emphasis of different categories and levels is different.
3. The examination form is written, including multiple-choice questions, multiple-choice questions, judgment questions and solution questions. Some exams also include case studies. The specific questions and scores vary according to the type and level of the exam.
4. After passing the examination, you can get the corresponding qualification certificate from the license issuing agency designated by China Securities Regulatory Commission. Hold relevant certificates and regularly participate in continuing education required by the regulatory requirements.
5. After the holder of the qualification certificate changes his post or leaves his post, the certificate will automatically become invalid. You need to pass the exam again and get a new certificate before you can return to work.
6. Failure to complete continuing education or change the certificate within the prescribed time limit will lead to the invalidation of the qualification certificate. You need to retake all the exams.
7. Candidates with serious violation records will be affected or disqualified, and their certificates may also be revoked.
Classification of securities qualification examination
1, fund qualification examination: business personnel engaged in investment funds such as Public Offering of Fund and private equity funds need to take it. It is divided into two levels: advanced and primary.
2. Futures qualification examination: Personnel engaged in futures trading, intermediary and other businesses are required to participate. It is also divided into two levels: advanced and primary.
3. Stock qualification examination: stock account managers and trading supervisors of securities companies are required to participate. Only one level.
4. Securities investment consulting qualification examination: securities investment consulting business personnel are required to participate. It is divided into three levels: advanced, intermediate and elementary.