With the rapid development of China's securities investment fund industry, the fund sales channels have been continuously expanded and deepened, and the number of people engaged in fund sales business has increased rapidly. Fund sales personnel directly contact investors and provide fund sales services. The improvement of their professional level and quality is related to the improvement of the overall service level of China's fund industry and the sustained and healthy development of the fund industry.
According to the provisions of People's Republic of China (PRC) Securities Investment Fund Law, Measures for the Administration of Securities Investment Fund Sales and other laws and regulations, personnel engaged in fund publicity, sales promotion, consulting and other businesses shall have professional qualifications. For this reason, China Securities Industry Association has formulated the Outline of Basic Examination for Fund Sales (2008), and will hold the first examination for fund sales staff in September 2008. This is of great significance to standardize the behavior of fund salesmen and improve their professional level.
This textbook is a guide book for the annual examination of fund sales staff in 2008, which is compiled according to the requirements of the Outline of Basic Examination of Fund Sales (2008), mainly including the basic knowledge of securities, the basic theory and operation practice of securities investment funds, the laws and regulations on the supervision of securities investment funds and the code of conduct for fund sales staff.