According to the Measures for the Administration of the Qualification of Securities Practitioners:
Thirteenth people who have obtained the practice certificate have not been employed in this institution for three consecutive years, and their practice certificate will 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.
Article 14 If an employee resigns after obtaining the practice certificate or is not employed by the original employment agency, or terminates the labor contract with the original employment agency for other reasons, the original employment agency shall report to the Association within 10 days after the above-mentioned situation occurs, and the Association will change the practice registration of the employee.
If an employee who has obtained a practice certificate changes his/her practice institution, the new practice institution shall report to the Association within ten days after the above situation occurs, and the Association will change the practice registration of the employee.
Article 15 An institution shall not employ persons who have not obtained a practice certificate to engage in foreign securities business.
Article 16 If an employee violates the relevant securities laws, administrative regulations and the relevant provisions of the China Securities Regulatory Commission in the course of practice and is punished by the employing agency, the employing agency shall report to the Association within ten days after the punishment.
Seventeenth associations and institutions shall regularly organize personnel who have obtained the practice certificate to carry out follow-up vocational training, so as to improve the professional ethics and professional quality of employees.
Article 18 The Association shall, in accordance with these Measures and the relevant provisions of the China Securities Regulatory Commission, formulate qualification examination methods, examination syllabus, practice certificate management methods and practice code of conduct. , shall be reported to the China Securities Regulatory Commission for approval.
Article 19 An association shall establish a database for the qualification management of employees, and conduct qualification publicity and practice registration management.
Extended data:
According to the detailed rules for the implementation of qualification management of securities practitioners (for Trial Implementation):
Article 11 An institution shall designate a qualification administrator to be responsible for the qualification management of employees. The qualification administrator shall file with the Association and perform the following duties on behalf of the organization:
(a) using the association's practice certificate management system to manage the system users of this institution;
(2) Organizing and implementing the application for practicing certificate of this institution;
(three) responsible for the preliminary examination of the application materials of the applicant for the institution's practice certificate;
(four) according to the deployment of the association to organize and implement the annual inspection work of this institution;
(five) to assist the inspection and investigation of the association;
(six) responsible for the archives work of employees in public institutions;
(seven) to provide relevant advice to the staff of this institution;
(eight) to maintain daily contact with the association.
The qualification manager of institution replacement shall file with the Association. The qualification administrator shall not entrust others to perform their duties without authorization.
Article 12 Where employees are rewarded, punished or punished by their institutions, self-regulatory organizations or regulatory authorities, or leave their institutions, their institutions shall file the above information with the Association before the 5th of each month.
Article 13 Employees who change from other securities business posts to those engaged in securities investment consulting and securities credit evaluation shall apply for a new practice certificate in accordance with the provisions of these Detailed Rules.
Article 14 If an employee fails to engage in securities business in an institution for three consecutive years, is subject to criminal punishment, is banned from the market, is expelled from the institution for violating the law and discipline, or violates professional ethics, his practice certificate shall be cancelled by the association.
Fifteenth institutions should properly keep the applicant's written application form and related materials.
Article 16 Employees shall regularly participate in the follow-up vocational training organized by the association or its recognized units.
Seventeenth employees who are subject to administrative punishment shall participate in compulsory training.
Article 18 An association shall establish a database for the qualification management of employees, and publish the qualified employees through the Internet website.
Article 19 An association shall establish a database of employees' credit information and implement hierarchical management for institutions to inquire or provide relevant information at the request of the securities regulatory authorities.
Article 20 Before 10 every month, the Association will announce the persons who obtained the practicing certificate last month, the annual inspection of the practicing certificate and the persons whose practicing certificate has been cancelled, revoked or suspended through its Internet site.
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