1. The qualification certificate of fund practitioners is to improve the professional quality of fund practitioners, standardize their behavior and safeguard the legitimate rights and interests of fund holders. Fund practitioners shall have the qualifications for fund practice, abide by laws and administrative regulations, and abide by professional ethics and codes of conduct.
Two, to apply for the qualification of fund sales business of commercial banks and other institutions, you need to have a certain number of fund practitioners.
A commercial bank applying for the qualification of fund sales business shall meet the following conditions:
1. The company's department in charge of fund sales business is not less than that of its employees 1/2, and the department manager in charge of fund sales business has obtained the qualification of fund practice;
2. The person in charge of the fund sales business of the company's main branches has obtained the qualification of fund practice; State-owned commercial banks, joint-stock commercial banks, postal savings banks and other personnel who have obtained the qualifications for fund practice shall not be less than 30;
3, city commercial banks, rural commercial banks, Chinese-funded foreign-funded corporate banks and other personnel who have obtained the qualification of fund practice shall not be less than 20.
Article 57 The personnel engaged in fund sales are specified, such as fund publicity and promotion personnel and fund sales information management platform system operation and maintenance personnel. , shall obtain the qualification of fund sales business.
Three, as a qualification certificate, is a necessary certificate to enter a certain industry, is a necessary certificate to meet the practice norms. Just like a teacher needs a teacher's license and driver's license to drive. The purpose of establishing qualification certificate is to improve the level of employees and standardize industry behavior.