Engaged in securities investment business, in addition to having more than 2 years of securities business experience, should also meet the requirements of bachelor degree or above, have full capacity for civil conduct, have been employed by institutions, have not received criminal punishment or serious administrative punishment related to securities business, have not been recognized by the China Securities Regulatory Commission as prohibited personnel in the securities market, or have passed the prohibition period.

Securities investment consultants must first obtain two basic subjects: basic knowledge of financial market and basic laws and regulations of securities market, then obtain the qualification of securities special subject examination, and then obtain the qualification of securities investment consulting business.

Securities investment consultant refers to the asset manager who provides securities investment advice and gets paid. Provide investment advice to customers, such as trading opportunities, hot spot analysis, securities selection, risk warning, etc. , and it is forbidden to represent customers.

In other words, the advice provided by the investment consultant to the client is for reference, and the decision is made by the client himself. When customers bear losses and gains, securities companies can charge investment consulting service fees, including differential commissions and individual consulting fees charged according to the amount of assets or service period.

Its commercial attribute has the characteristics of pertinence, particularity and non-publicity. The presentation process of private equity investment consultants is based on investment trust, guided by absolute investment ability and return on investment performance, assisted by consulting brands and back-office support services, and based on customer entrustment.

According to the agreement, provide customers with investment advice on securities and securities-related products, and obtain economic benefits directly or indirectly. Investment suggestions include the choice of investment varieties, investment portfolio and financial planning suggestions.