Chapter I General Provisions Article 1 These Measures are formulated in accordance with the Securities Law, the Company Law, the State Council's Decision on Setting Administrative License for Administrative Examination and Approval Items Needed to Be Retained and other laws and administrative regulations in order to standardize the management of senior managers of securities companies, promote the construction of specialized management teams in the securities industry, improve the management level of securities companies and protect the legitimate rights and interests of investors. Article 2 The senior managers of securities companies mentioned in these Measures (hereinafter referred to as "senior managers") refer to those who are responsible for the company's decision-making, operation and management, including the chairman, vice chairman, supervisor, general manager, deputy general manager, financial controller, compliance controller and those who actually perform the above duties. Article 3 A securities company shall employ persons who have obtained the qualification of senior managers of the securities company (hereinafter referred to as the qualification of senior managers) as senior managers; A person who has not obtained the qualification of executive director may not serve as an executive director.

The qualifications of senior executives shall be approved by the China Securities Regulatory Commission according to law. Article 4 Senior executives shall abide by laws, administrative regulations and the provisions of the China Securities Regulatory Commission, abide by the articles of association and industry norms, abide by integrity, be prudent and diligent, and be faithful and conscientious. Article 5 The China Securities Regulatory Commission shall supervise and manage the senior executives according to law.

The China Securities Association and the stock exchange shall manage the senior managers in accordance with laws, administrative regulations, provisions of the China Securities Regulatory Commission and self-discipline rules. Chapter II Qualifications Article 6 To apply for the qualifications of chairman, vice-chairman and supervisor, the following conditions shall be met:

(a) engaged in securities work for more than 3 years, or financial, legal and accounting work for more than 5 years, or economic work 10 years;

(2) Having passed the qualification grade test recognized by the China Securities Regulatory Commission;

(3) Having a bachelor degree or above;

(four) honest and trustworthy, with good professional ethics, no record of bad behavior in the last five years;

(five) familiar with the legal knowledge related to the operation and management of securities companies, and have the management ability and organization and coordination ability necessary to perform the duties of senior executives;

(6) There is no circumstance that the Company Law, the Securities Law and other laws and administrative regulations prohibit him from serving as a senior officer or employee;

(seven) other conditions stipulated by the China Securities Regulatory Commission. Article 7 To apply for the post qualifications of general manager, deputy general manager, chief financial officer and compliance officer, the applicant shall meet the following conditions in addition to the conditions specified in Items (2) to (6) of Article 6 of these Measures:

(a) to obtain the qualification of securities industry;

(two) engaged in securities work for more than 3 years or financial work for more than 5 years;

(3) Having been the head of the departments of securities, funds, futures, banks, insurance and other financial institutions for more than two years, or having considerable post management experience.

The chairman or vice-chairman exercising the management authority of the company shall meet the post requirements stipulated in this article. Article 8 To apply for the post qualification of senior executives, two current senior executives who have served for more than 65,438+0 years shall recommend them and issue written recommendation opinions. Article 9 To apply for the qualification of senior executives, the applicant shall submit the following application materials to the China Securities Regulatory Commission:

(1) An application form for the post qualification of senior managers;

(2) the recommendation opinions of two referees;

(3) the outgoing audit report of the former employer, the assessment opinions of the former employer in the last three years, and the regulatory opinions of the regulatory authorities who have worked in financial institutions in the last five years on the applicant's working experience, whether he has been punished or not, and whether he has a record of bad behavior;

(four) a copy of the identity certificate;

(5) Copies of academic certificates, securities qualification certificates, qualification grade examination certificates and vocational qualification certificates;

(6) Legal opinions issued by law firms;

(seven) other materials as prescribed by the China Securities Regulatory Commission.

The recommendation opinions, outgoing audit reports, expert opinions and regulatory opinions specified in Items (2) and (3) of the preceding paragraph shall be sent to the China Securities Regulatory Commission and the dispatched office of the China Securities Regulatory Commission where the applicant resides, and other application materials shall be sent to the dispatched office of the China Securities Regulatory Commission where the applicant resides for the record. Article 10 The recommendation opinions issued by the recommender shall focus on the applicant's personal conduct, law-abiding, professional level and management ability, and put forward clear recommendations. Article 11 The dispatched office of the China Securities Regulatory Commission shall, within 65,438+00 working days from the date of receipt of the filing materials, review the filing materials, inspect and talk with the applicants, and submit the review opinions and working papers of the inspection talks to the China Securities Regulatory Commission. Article 12 The China Securities Regulatory Commission shall accept and examine the application materials according to law and make a decision on administrative licensing. Those who meet the requirements shall be licensed and issued with senior management qualification certificates.

The China Securities Regulatory Commission may inspect the applicant's conduct, work ability and work experience through investigation and conversation. Article 13 If an applicant conceals relevant information or provides false materials to apply for the post qualification of senior management, the China Securities Regulatory Commission will not accept or approve the post application, and the applicant may not apply for the post qualification of senior management again within 1 year; If the applicant obtains the qualification of senior management personnel by cheating, bribery or other improper means, he shall not apply for the qualification of senior management personnel again within 3 years.