1, fund sales personnel qualification requirements
Professionals engaged in securities business in securities companies, fund management companies, fund custody institutions, fund sales institutions, securities investment consulting institutions, securities credit evaluation institutions and other institutions engaged in securities business as stipulated by the China Securities Regulatory Commission shall obtain the qualifications recognized by the Securities Industry Association. Institutions engaged in securities business shall not employ persons who have not obtained overseas securities business qualifications.
Professionals engaged in securities business include: (1) professionals engaged in fund sales, research and analysis, investment management, trading, supervision and auditing in fund management companies and fund custody institutions and managers of relevant business departments; (2) Professionals engaged in fund publicity, promotion, consultation and other businesses in fund sales institutions and managers of relevant business departments.
2. Acquisition and management of fund sales personnel qualifications.
(1) Obtain the qualification of fund practitioners.
Fund sales personnel must pass the qualification examination for fund practitioners and obtain the qualification certificate for fund practitioners. The qualification examination for fund practitioners is divided into two subjects: fund laws and regulations, professional ethics and business norms, and basic knowledge of securities investment funds. The teaching materials are the first and second volumes of Securities Investment Fund, and the qualification certificate of fund practitioners can only be obtained if both subjects are passed.
(2) Qualification management of fund sales practitioners
① Those who have passed the qualification examination for securities industry or the qualification examination for securities investment fund sales personnel can apply to China Securities Industry Association for a practicing certificate through the employed institution if they meet certain conditions.
(2) China Securities Industry Association has established a database for the qualification management of employees, and conducted qualification publicity and practice registration management for all those who have passed the examination.
(3) According to the relevant regulations of China Securities Industry Association, during the annual inspection of the practicing certificate, the personnel who have obtained the practicing certificate shall attend the follow-up vocational training for the specified hours, so as to improve the professional ethics and professional quality of the employees.
(3) Employee credit information management
Credit information records include basic information, reward information, warning information and punishment information.
3. Compliance supervision of fund sales personnel's behavior
The behavior compliance supervision of fund sales personnel shall be supervised in accordance with the relevant provisions of the Code of Practice for Sales Personnel of Securities Investment Funds.
4. Internal management of fund sales staff
(1) organization and management of fund sales staff
The essence of organizational management of salespeople is that fund sales organizations establish the optimal organizational structure, rationalize the management of salespeople, and make the positioning of sales teams and sales organizations develop in harmony with strategic marketing objectives.
(2) Behavior supervision of fund sales personnel
The behavior supervision of fund sales personnel should be strictly required and supervised from two aspects: their professional quality and professional ethics. As professionals, fund sales personnel should have the professional knowledge of securities, finance, finance and certain marketing skills necessary to engage in fund sales activities, be rigorous and pragmatic, be diligent and conscientious, abide by the law, and be honest and trustworthy.
(3) Training of fund sales personnel
The training of fund sales personnel mainly includes: professional knowledge training, sales skills training and legal compliance training.