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.

4. A person who has obtained a practicing certificate may, upon the appointment of his institution, carry out the securities business operated by his institution on behalf of the employing 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.

Second, prepare the application materials:

The applicant shall submit the following application materials to the institution:

1, Practice Certificate Application Form;

2. Copy of ID card; ?

3. Copy of academic certificate; ?

4. Other materials specified by the Association.

Third, submit the application according to the application procedure:

1. The applicant logs into the association's practice certificate management system, fills in the Practice Certificate Application Form, and submits it to the institution together with the printed written application form and other application materials specified in Article 8; ?

2. The qualification administrator of the institution conducts preliminary examination and confirmation on the application form for practicing certificate. The written application form is kept by the institution for future reference, and the electronic application form is 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.

Extended data:

Application materials and requirements for securities investment consulting business

1. The applicant shall submit the following materials:

1. application report for securities investment consulting business;

2, the securities investment consulting agency qualification application form; ?

3. Business license of enterprise legal person (copy); ?

4. Articles of association;

5. Internal management system; ?

6. The business management system and business plan of the company's investment consulting business;

7, business premises lease or ownership certificate (copy);

8. A capital verification report issued by a certified public accountant;

9. A certificate issued by the applicant institution as to whether the shareholders of the institution are related, whether there are illegal acts, and whether the credit status is good; ?

10. Business report of the applicant institution since its establishment;

1 1, five publicly published research reports representing the applicant's business level;

12, an audit report issued by an accounting firm with securities-related business qualifications in the last year;

13. The applicant has business cooperation and business dealings with a securities company;

14, a certificate issued by China Securities Industry Association that there are more than 5 persons with securities investment consulting qualifications;

15, other materials required by China Securities Regulatory Commission.

Two. Requirements for submitting application materials:

The application materials are in quadruplicate (at least one original), one of which is kept by our bureau, and the copy must be A4 paper and stamped with the official seal of the applicant. The audit report issued by an accountant shall be accompanied by a copy of the qualification certificate of the securities-related business of the accounting firm and a copy of the qualification certificate of the certified public accountant.

Institutions or personnel who intend to apply for practicing qualification in the last two years must publish 5 research reports in regular magazines or newspapers. The types of articles can be broadened to include financial research reports in addition to securities research reports. In the latter case, unpublished securities research reports should be provided as supplementary materials.

Baidu encyclopedia-securities investment consulting business