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On the application of fund practitioners
1. Who needs to take the fund qualification examination?
A: Since the Securities Investment Fund Law was revised and promulgated in 20 12, it has been clearly stipulated that fund practitioners should have the qualifications for fund practice, including fund managers and senior managers of fund custodians. At the same time, the establishment of administrators and custodians requires a quorum of qualified personnel. At the same time, the Measures for the Administration of Securities Investment Fund Sales stipulates that commercial banks, securities companies, futures companies, insurance institutions, securities investment consulting institutions and independent fund sales institutions. You must also have a certain number of employees with professional qualifications, and the department manager of the fund sales business must have it. The announcement of February 5, 20 16 clarified the relevant requirements for private fund managers and senior executives to have the qualifications for fund practice.
In short, to enter the fund industry, it is best to take the qualification examination and get started!
2. How can I really get the qualification?
A: You have passed the examination of Subject 1, Subject 2 (or Subject 3), and you need to submit your registration to China Asset Management Association through your institution to obtain the qualification for fund practice. Just because the scores of both grades are above 60 doesn't mean that you are qualified. To enter a financial institution, you need to register with the association in the name of the unit before it can take effect.
3. How many years is the validity of the grade? Do I have to take the exam again after it expires?
A: The results of the fund qualification examination are valid for 4 years. After you register as a fund practitioner through your organization, you need to attend a specified number of face-to-face training or distance training every year to maintain your qualification. You can log in to the association's distance training system, register for study and update your knowledge in real time.
4. What are the preparation strategies for the fund exam?
A: The exam pays attention to the practical application ability of candidates and abandons the mode and content of rote learning. So, study the textbook first. Examination outline is the main basis for candidates to review and prepare for the exam. The association has made an examination outline for all three subjects, listed the knowledge points and made clear the specific chapters of the corresponding textbooks. Note that all the questions come from the knowledge points listed in the outline!
5. How many exams are there?
6. What subjects are there in the exam?
Subject 1: fund laws and regulations, professional ethics and business norms; Subject 2: Basic knowledge of securities investment funds; Subject 3: Basic knowledge of private equity investment funds.
Candidates are eligible to be registered as fund practitioners if they pass the examination of subject 1 and subject 2, or pass the examination of subject 1 and subject 3.
7. What's the difference between an appointment exam and a unified exam?
The appointment examination for fund employment and the national unified examination are two types of fund employment examination. Whether taking the appointment exam or the national unified exam, they are all organized by China Asset Management Association, and the results are recognized by each other, and the recognition of the results is the same.
The appointment examination is a supplement to the unified examination. No matter whether you pass two courses in the fund industry, two courses in the unified examination or another course in the unified examination, as long as you are within the validity period of four years, your grades can be inquired in the fund industry association, and the certificate of conformity can be printed.
The qualification examination for fund practitioners is consistent with the national unified examination in terms of examination subjects, examination textbooks, examination syllabus and assessment standards.
Therefore, if you take the appointment examination for fund employment, you can sign up for the national unified examination at the next examination, and the results of the two types of examinations will be mutually recognized. You can apply for registration qualification if you pass one subject in the appointment examination and another subject in the unified examination, and vice versa.
Although influenced by COVID-19, the qualification examination has been postponed or cancelled for many times, up to now, the qualification examination for fund practice has not been postponed or cancelled, and the examination registration is still in progress.
Therefore, students who are preparing for the qualification certificate of the fund should not relax the pace of preparing for the exam, read books and do problems, and remember the high-frequency test sites!
Examination questions of fund application
Is it difficult to test the fund?
The fund qualification examination shall be conducted in a unified national organization, unified examination time, unified examination outline, unified examination proposition and unified examination system.
After passing the examination of fund laws and regulations, professional ethics and business norms, basic knowledge of securities investment funds or basic knowledge of private investment funds, you can obtain the qualification of fund practice, and once registered, you can start fund business.
Difficulties 1: multiple choice questions
The combination multiple-choice question is a unique way to set questions in the fund employment examination. Different from multiple-choice questions and indefinite multiple-choice questions, the difficulty is slightly higher than that of multiple-choice questions and slightly lower than that of indefinite multiple-choice questions. Provide four or more opinions under the test questions, and then combine these opinions in four different forms as four options for candidates to answer.
Candidates who take the exam for the first time are often stumped by this kind of exam questions and don't know how to deal with it. The difficulty of this kind of topic lies in the multi-angle and multi-level examination of candidates' mastery of the content of the textbook and their ability to understand and apply basic knowledge.
Difficulty 2: The question is random.
The way of giving questions in the fund employment examination is also different from other examinations. The examination system automatically randomly selects a set of questions according to the proportion of chapters in each examination of fund employment examination, which greatly improves the difficulty and randomness of the examination.
Because the topics are selected according to the proportion of chapters, this requires candidates to review comprehensively when preparing for the exam in order to pass the exam smoothly. If the difficulty of the test question itself is three stars, then this random test will raise the difficulty of the test to five stars.
What are the subject test sites?
Among the three courses of fund qualification examination, the second course, Basic Knowledge of Securities Investment Fund, is a more difficult and informative course, which needs more energy. Because it involves the concepts of investment science, statistics and other knowledge, it examines the ability of calculation and chart analysis.
Subject 3 "Basic knowledge of private equity investment funds" is moderately difficult. The theory is mainly based on concepts and regulations, involving a small number of calculation problems, and the content is relatively free.
Subject 1 "Fund Laws and Regulations, Professional Ethics and Business Standards" is the simplest and most basic subject, which mainly focuses on understanding and memory, and is composed of various industry laws and regulations.
The examination questions of the fund qualification examination are more flexible and detailed, so you should know how to do it. So you need a lot of memory, but you can't learn by rote. Memorizing on the basis of understanding is not easy to be confused.
At the same time, many knowledge test sites are interrelated. Candidates should have a holistic thinking, develop the habit of thinking and summarizing, and integrate knowledge points.
Gold content of fund practice 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.
Employment direction of fund industry
(1) What is the qualification certificate for fund practice? What are the main examination contents of the certificate?
The qualification examination for fund practitioners is a professional and technical qualification examination to improve the professional level and quality of fund practitioners and engage in financial, financial, legal, regulatory and other professional knowledge and skills related to fund publicity, promotion and consultation.
The main contents of the certificate examination include the basic knowledge of the securities market, the operation and sales of investment market funds, the analysis of investment funds and relevant laws and regulations of the industry.
(2) What are the requirements for applying for the qualification certificate of fund practice?
1, registration deadline 18 years old;
2. Have a high school or national recognition equivalent to a high school graduation or above;
3. Have full capacity for civil conduct.
The above conditions are indispensable.
(3) What can I do if I get the qualification certificate of fund practice?
After passing the examination, you can do the following work:
1, fund manager-private equity direction
2. Private Equity Analyst-Telecommunications, Media and Technology (TMT) Industry
3. Financial Risk Analyst-Market Risk Direction
4, hedge fund trading assistant-private direction
5. Stock analyst -A-share direction
6. Actuaries-insurance direction
In fact, the fund qualification certificate is only an entry certificate for the financial industry. If you want to go to by going up one flight of stairs, you need not only a more advanced certificate, but also rich work experience.