Application conditions
The person who applies for the practice certificate shall obtain the practice qualification, be employed by a securities institution, and meet the relevant character and reputation requirements stipulated in Article 10 of the Measures; To apply for securities investment consulting business, you should also have China nationality, bachelor degree or above and more than two years of securities experience; To apply for securities credit evaluation business, one should have more than two years of securities experience and the relevant provisions of the China Securities Regulatory Commission.
Application process
Practice certificate shall be applied to China Securities Industry Association through affiliated institutions. The association shall, within 30 days from the date of receiving the application for practicing, file with the China Securities Regulatory Commission and issue a practicing certificate. Practice certificates are not classified. A person who has obtained a practice certificate may engage in the securities business operated by the institution on behalf of the employing institution upon the appointment of the institution.
Practice clause
If a person who has obtained a practicing certificate has not been employed in a public institution for three consecutive years, his practicing certificate shall 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.