Content navigation fund practitioners often take knowledge points. Fund practitioners introduce fund practitioners. Subject selection fund practitioners register for the exam.
Knowledge points that fund practitioners often test.
0 1 fund customer service principle
(1) Principle of giving priority to investors' interests;
(2) the principle of effective communication;
(3) the principle of safety first;
(4) the principle of professional norms;
(5) The principle of appropriateness management.
02 principles of institutional setup
(1) mutually restrictive and incompatible principle of separation of duties;
(2) Defining the principle of authorization;
(3) the principle of timeliness.
03 basic principles of fund supervision
(1) the principle of protecting the interests of investors;
(2) The principle of moderate supervision;
(3) the principle of effective supervision;
(four) the principle of supervision according to law;
(5) Prudent supervision principle;
(six) the principle of open, fair and just supervision.
04 principles of information disclosure
Principles to be followed in disclosing contents:
(1) principle of authenticity;
(2) the principle of accuracy;
(3) the principle of integrity;
(4) the principle of timeliness;
(5) The principle of fair disclosure.
Principles to be followed in the form of disclosure:
(1) normative principle;
(2) Solvability principle;
(3) the principle of usability.
05 risk management principles
(1) supremacy principle. The management of the company should always put risk control in the primary position of operation and management, and make a commitment to this.
(2) The principle of comprehensiveness. Risk control must cover all businesses, departments and posts of the company, and permeate all business links such as decision-making, implementation and feedback.
(3) The principle of matching rights and responsibilities.
(4) the principle of independence.
(5) The principle of combining qualitative with quantitative.
(6) the principle of timeliness.
Characteristics of fund customer service
(1) professionalism;
(2) normality;
(3) continuity;
(4) timeliness.
Sales organizations should follow the following principles in market segmentation.
(1) principle of accessibility;
(2) the principle of testability;
(3) the principle of growth;
(4) identification principle;
(5) Profit principle.
8. The securities investment fund belongs to the financial service industry, and its marketing is different from that of tangible products, and it has its particularity when applying the 4Ps theory:
(1) Normality;
(2) service;
(3) professionalism;
(4) continuity;
(5) Applicability.
9. In the process of implementing the applicability of fund sales, fund sales institutions shall follow the following principles:
(1) Principle of giving priority to investors' interests;
(2) the principle of comprehensiveness;
(3) the principle of objectivity;
(4) the principle of timeliness;
(5) the principle of effectiveness;
(6) the principle of difference.
How high is the gold content of the fund employment certificate?
First, as a threshold to enter the industry.
No matter which industry you want to enter, obtaining the corresponding qualification certificate is the most direct proof of your strength. With the development of economy, I believe everyone is aware of a problem, that is, when applying for a job, the qualification certificate of fund practice is basically one of the necessary hard requirements. Or some people don't want to enter the fund industry, but want to make themselves more confident to seize the opportunity when it appears, so taking a certificate is also a way to increase their confidence and ability, not to mention it is good for them to get another certificate.
Second, the employment prospects are good.
At present, many financial practitioners are restricted from engaging in fund-related work because they don't have fund qualification certificates, resulting in a certain job gap, which urgently needs qualified practitioners to fill.
Public offering of employees of fund managers, fund custodians, securities and futures asset management institutions and fund service institutions (including fund sales, share registration, valuation, investment consultants, evaluation, information technology system services, etc.). ) and private fund managers require employees to hold fund qualification certificates, which means that those who hold certificates will have the opportunity to obtain higher returns.
Third, the gold content is high.
With the extraordinary expansion of the fund industry, the demand for fund practitioners is increasing day by day. In this way, the professionals and professional qualities of employees will inevitably be mixed. For the healthy, stable and sustainable development of the industry, it is necessary to set a stricter entry threshold and eliminate the fittest.
2065438+February 5, 2006, the Fund Industry Association issued the Announcement on Further Standardizing the Registration of Private Equity Fund Managers, which is also commonly known as the "new filing regulations", stipulating that fund practitioners must hold the qualification certificate of fund practice, that is to say, if they want to develop in the fund industry, they cannot stand in the financial industry without passing the qualification examination of fund practice.
In addition to fund companies, employees in fund-related structures need to obtain and apply for fund qualification, including managers, business personnel and salesmen in 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 China Securities Regulatory Commission.
Faced with such policies and regulations, there is a huge gap for holders of fund qualification certificates. However, the pass rate of fund qualification examination is not high, so as an access card for the fund industry, the gold content of fund qualification certificate is also rising.
Fourth, the application requirements are low and the examination time is short.
In terms of application conditions, to register for the fund qualification certificate examination, it is required to have full capacity for civil conduct, be over 18 years old, and have a high school education or above.
Fund practitioners register for fund qualification, and the examination subjects recognized by China Asset Management Association include: subject 1, fund laws and regulations, professional ethics and business norms; Subject 2, basic knowledge of securities investment funds; And subject three, the basic knowledge of private equity investment funds.
Candidates only need to take one of subject 1+subject 2 or subject 3, that is, the registration conditions for qualified fund practitioners.
Under normal circumstances, candidates can successfully pass the exam after preparing for 1-3 months.
Five, engaged in a wide range of industries
With the opening of financial license, in addition to traditional fund companies, private equity institutions, securities companies and fund departments under banks, more and more insurance institutions, asset appraisal institutions, securities companies, rural commercial banks, city commercial banks, joint-stock commercial banks, postal savings banks and even internet companies have obtained fund sales licenses, allowing them to carry out fund sales business. What follows is the demand of fund practitioners. All the above companies need to recruit relevant employees with fund qualification.
Selection of fund business subject
(1) How many courses should I take in the fund employment examination?
How many subjects should I take in the fund qualification certificate? Some people say three subjects, others say two. Bian Xiao told everyone that a * * * has three subjects, but you can choose two of them to take the exam. These three subjects are:
Subject 1: fund laws and regulations, professional ethics and business norms
Subject 2: Basic knowledge of securities investment funds
Subject 3: Basic knowledge of equity investment funds
You can combine from the above three exams (one subject required), and each combination has different emphasis. Let's take a look at it next.
(2) Collection of Fund Employment Examination Works
1, fund laws and regulations, professional ethics and business norms+basic knowledge of securities investment funds
When these two subjects are combined, they can engage in Public Offering of Fund business and private equity fund business, which is suitable for employees who go to fund sales institutions to register in the future.
2. Fund laws and regulations, professional ethics and business norms+basic knowledge of securities investment funds/basic knowledge of equity investment funds.
Subject 1+Subject 2 or Subject 3 is suitable for employees who work and publicize in fund sales organizations, and the staff of sales information management platform is more suitable.
3. Comparison between the two
As we all know, subject one is compulsory. Compared with subject 1+subject 3, subject 1+subject 2 has a wider range of employment than subject 1+subject 3.
Registration for fund employment examination
In April, the registration of the fund qualification examination was postponed.
Bian Xiao learned through official website that the registration for the qualification examination of the fund was postponed until April. The specific registration and examination-related time will be appropriately adjusted according to the progress of epidemic prevention and control. Candidates should pay close attention to the development of official website in time and wait for the follow-up notice.
The appointment examination for fund qualification originally scheduled for March will also be postponed. In view of this adjustment, candidates can choose to insist on taking the postponed exam, or they can choose not to take it and apply for a refund of the paid registration fee!
Matters needing attention in applying for fund qualification examination
1. Candidates should pay attention to: Pay the registration fee online, 65 yuan/Ministry. If the application for the Fund Appointment Examination is successful, candidates should pay the corresponding fees within 120 minutes (two hours). (Seats are reserved for 120 minutes only). Otherwise, seats will not be reserved, and candidates need to apply again.
2. To apply for the fund qualification examination, candidates should know that before the registration deadline, candidates' subjects and application areas can be modified.
3. Candidates should be clear about applying for the fund qualification examination: the subject of the fund qualification examination does not have to be passed at one time, and they can apply reasonably according to their actual needs! For example, apply for one subject at a time; Apply for two subjects at a time; Or take three exams at a time. Pay attention to enter oneself for an examination two subjects, pass the exam, you can get the qualification certificate of fund practice!
4. To apply for the fund qualification examination, candidates should understand that the entrance to the fund pre-examination and the unified examination is actually different. There is no limit to the number of applicants for the fund qualification examination; However, the number of applicants for the appointment examination is limited, and only some cities can apply for it.
Deep Space Network would like to remind everyone that although the registration for the unified examination of the fund qualification examination was postponed in April, it is suggested that candidates should stick to preparing for the exam, know the matters to be registered in advance and be prepared!