Extended data:
Employees engaged in fund-related business need to apply for fund qualification. Including fund managers, commercial banks (including foreign-funded corporate banks in China), securities companies, futures companies, insurance institutions, securities investment consulting institutions, independent fund sales institutions and managers, business personnel and marketers in other institutions recognized by China Securities Regulatory Commission.
(1) According to Article 9 of Chapter I of the Securities Investment Fund Law of People's Republic of China (PRC) (Presidential Decree No.71), fund practitioners should have the qualification of fund practice, abide by laws and administrative regulations, and abide by professional ethics and code of conduct.
(2) According to Article 10 of the Measures for the Administration of Sales of Securities Investment Funds (Order No.91), a commercial bank applying for the qualification of fund sales business shall meet the following conditions: the number of employees in the department in charge of fund sales business of the company shall not be less than 1/2 of the number of employees in the department, and the manager in charge of fund sales business shall obtain the qualification of fund business;
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; City commercial banks, rural commercial banks, foreign-funded corporate banks in China, etc. There are no less than 20 persons who have obtained the qualification of fund practice.
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.