Securities qualification certificate examination subjects
The securities qualification certificate needs to be tested in two subjects, namely "Basic Laws and Regulations of Securities Market" and "Basic Knowledge of Financial Market".
Level of securities qualification examination
The securities qualification examination is divided into three grades, namely, the securities general qualification examination, the special qualification examination and the senior management qualification examination.
Securities comprehensive qualification examination
The securities general qualification examination, also known as the entry qualification examination, has two subjects: the basic laws and regulations of the securities market and the basic knowledge of the financial market, and it is also a compulsory subject. Candidates who pass the general qualification examination can take the vocational qualification examination and the senior management qualification examination.
Vocational qualification examination
Each vocational qualification examination has 1 corresponding examination subjects. The examination subjects of the competency examination for sponsor representatives, securities analysts and securities investment consultants are investment banking, publishing securities research reports and securities investment consulting respectively.
Senior management qualification examination
The qualification examination for senior managers is mainly aimed at the senior managers of securities institutions to be employed. There are 1 examination subjects in each management qualification examination, namely, 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.