1. Applicants.

Personnel engaged in securities business of a securities company shall meet the requirements of the Securities Law and other laws and regulations, the provisions of the China Securities Regulatory Commission and the self-discipline rules of the China Securities Association (hereinafter referred to as the Association), have good conduct and have the professional ability required to engage in securities business. Including but not limited to, meeting the basic requirements: good conduct and good professional ethics; He has not received criminal punishment in the last three years; It has not been recognized by the China Securities Regulatory Commission as a prohibited person in the securities market, or the prohibited period has expired; Pass the corresponding qualification examination for securities practitioners, etc. On the basis of meeting the basic requirements, the personnel engaged in securities investment consulting business shall also meet the relevant provisions of Article 13 of the Interim Measures for the Administration of Securities and Futures Investment Consulting. The sponsor representative shall also comply with the relevant provisions of Article 11 of the Measures for the Administration of Sponsorship of Securities Issuance and Listing. Securities brokers shall also comply with the relevant provisions of Article 7 of the Interim Provisions on the Administration of Securities Brokers.

Personnel engaged in securities business of securities companies shall register with the Association. Personnel engaged in securities-related business in securities investment consulting institutions and securities rating agencies shall be registered and managed with reference to the relevant provisions of securities companies engaged in securities business. Employees do not need to apply for qualifications and practice certificates.

Second, the registration category.

The registered categories of employees are set as general securities business, securities broker, securities investment consulting (investment consultant), securities investment consulting (analyst), securities investment consulting (other) and sponsor representative. Registration should be made according to the actual business categories and corresponding requirements of employees, and the same person can only be registered as one category.

Third, the registration procedure.

Employees are registered through their organizations, which shall submit the employee registration information audited by the organization to the association for registration within 7 working days (including probation period) from the employee's employment date through the association management platform. If the registration information is complete, the association will generate a unique registration number after registration. If the registration information is incomplete or does not meet the specified requirements, the association will notify the organization to make timely corrections.

Where the business category of employees or other important registration information changes, the institution to which they belong shall handle the change registration within 7 working days from the date of change. If an employee leaves his post, the unit where he works shall cancel the registration within 7 working days from the date of dissolution of the labor relationship (or principal-agent relationship).

Fourth, institutional responsibility.

The institution shall ensure that the employees it employs comply with the Securities Law and other laws and regulations, the provisions of the China Securities Regulatory Commission and the requirements of the Association's self-discipline rules. Institutions shall designate a special person (registration administrator) to be responsible for the registration information audit and daily registration management of their employees, so as to ensure that the registration information is true, accurate and complete.

Verb (abbreviation of verb) registers information query.

The association will publish the relevant registration information and registration number of employees of various institutions through the employee information bulletin board of the association website, which is convenient for investors to inquire.

Suggestion: You can consult the China Securities Association and other institutions.