You can go to the websites of various fund companies and securities companies to take a closer look. These companies often have job advertisements, but most of the business personnel or managers recruited need to have a doctoral degree or above with an economic or financial background.

The qualifications and examination contents of securities or fund practitioners can be found online.

Find the answer here, it is better to find the answer online yourself.

It is not enough to have a degree, but also to have enough vigilance and wisdom.

I attach a document to you, which is very simple on Baidu's website. Baidu found it at once.

Interim provisions on the qualification management of fund practitioners

China Securities Regulatory Commission (CSRC)

Chapter I General Provisions

Article 1 In order to strengthen the management of the qualifications of fund practitioners in fund management companies and fund custody departments and standardize securities investment behavior.

The operation of the Endowment Fund (hereinafter referred to as the Fund) effectively protects the legitimate rights and interests of fund holders and promotes the healthy development of the fund industry.

Kang development, according to the Interim Measures for the Administration of Securities Investment Funds (hereinafter referred to as the Interim Measures) and other relevant provisions.

These Provisions are formulated.

Article 2 The fund practitioners mentioned in these Provisions include the following persons:

(1) Senior managers of fund management companies and fund custody departments and their assistants;

(two) the fund management company with fund business department and the deputy manager of the fund custody department;

Fund managers of fund management companies;

(4) Inspectors of fund management companies;

(five) engaged in research and development, marketing, sales, trading, fund management, supervision and inspection in the fund management company.

Nuclear management and computer management professionals;

(six) engaged in research and development, clearing and delivery, fund finance, transaction monitoring, supervision and auditing in the fund custody department,

Professionals in computer management and other industries;

(seven) other personnel identified by China Securities Regulatory Commission (hereinafter referred to as "China Securities Regulatory Commission").

The senior managers mentioned in Item (1) of the preceding paragraph are the general manager and vice president of the fund management company and fund custody department.

Managers and other personnel identified by China Securities Regulatory Commission; The term "fund manager" as mentioned in Item (3) refers to the negative employee who works in a fund management company.

Professionals in charge of fund investment; The inspector mentioned in Item (4) refers to the person in charge of the supervision and audit of the fund management company.

Work, and can independently report to the company chairman and the China Securities Regulatory Commission.

Article 3 China Securities Regulatory Commission (hereinafter referred to as China Securities Regulatory Commission) shall supervise and administer the qualifications of fund practitioners in accordance with these Provisions.

The qualifications of fund practitioners mentioned in the preceding paragraph include the qualifications of fund practitioners, fund managers and senior managers.

Qualification.

Article 4 Where a fund practitioner applies for the qualification of fund practitioner and fund manager, the unit to be appointed shall press.

According to the requirements of these Provisions, the application materials shall be submitted to the China Securities Regulatory Commission. China Securities Regulatory Commission examines the applicant's materials,

Upon examination, those who meet the requirements shall be approved for the qualification of fund practitioners and fund managers, and a qualification certificate shall be issued.

What's your problem? Vent? ぜ? What is the jurisdiction of the cloud? Send it to you? Iron ring? Br> To check and interview applicants.

Article 5 The China Securities Regulatory Commission shall announce to the public the list of fund practitioners who have obtained the qualifications of fund practitioners.

Chapter II Fund Qualification

Article 6 Fund management companies and fund custody departments formally employ fund practitioners, and fund practitioners shall obtain the qualifications for fund practice.

Qualification.

Article 7 To apply for the qualification of fund practitioners, fund practitioners shall meet the following conditions:

(1) Having People's Republic of China (PRC) nationality, except those approved by the China Securities Regulatory Commission;

(2) Having full capacity for civil conduct;

(3) Abide by relevant national laws and regulations and industry norms, and be familiar with relevant securities and financial laws and regulations;

(4) Having good conduct, being honest and trustworthy, being loyal to their duties and keeping secrets;

(5) Having a junior college degree or above in finance, law and other securities-related majors; Or have other specialties.

Education, and engaged in securities business for more than two years or other financial business for more than three years, with securities,

Professional knowledge such as finance and law;

(6) Having passed the fund qualification examination organized by the China Securities Regulatory Commission or its authorized institution;

(seven) other conditions stipulated by the China Securities Regulatory Commission.

Article 8 Under any of the following circumstances, one may not apply for the qualification of fund practice:

(1) Having received criminal punishment or major administrative punishment;

(2) Being a director or general manager of a company or enterprise that has gone bankrupt and liquidated due to mismanagement or whose business license has been revoked due to illegal acts.

Managers and other senior managers who are personally responsible for the above results;

(3) The debts owed by individuals have not been paid off due, and the amount is relatively large;

(4) Being recognized by the China Securities Regulatory Commission as a person prohibited from entering the securities market;

(5) Other circumstances determined by the China Securities Regulatory Commission as unsuitable for engaging in fund business.

Article 9 A fund practitioner applying for fund qualification shall be submitted by the proposed person to the China Securities Regulatory Commission.

Column material:

(1) An application form uniformly printed by the China Securities Regulatory Commission;

(2) copies of academic qualifications and degree certificates;

(3) a copy of the ID card;

(four) a copy of the qualification certificate of the fund qualification examination;

(five) the recommendation of the proposed employer to the applicant;

(six) other materials required by the China Securities Regulatory Commission.

Chapter III Qualification of Fund Managers

Article 10 A fund practitioner who intends to be a fund manager of a fund management company shall not only have the qualifications for fund practice,

You should also obtain the qualification of fund manager.

Article 11 To apply for the qualification of a fund manager, the following conditions shall be met:

(1) Having the qualification of fund practice;

(two) engaged in fund business for more than three years or securities business for more than five years, with rich securities.

Public analysis, securities investment experience and good work performance;

(3) Having passed the qualification examination for fund managers organized by the China Securities Regulatory Commission or its authorized institutions.

(4) Other conditions stipulated by the China Securities Regulatory Commission.

Article 12 When a fund practitioner applies for the qualification of fund manager, the employer shall not only comply with the provisions of Article 9 of these Provisions.

Items (1), (2) and (3) shall submit the following materials in addition to the materials submitted to the China Securities Regulatory Commission:

(a) a copy of the qualification certificate of the fund;

(2) A copy of the qualification examination certificate of the fund manager;

(3) Other materials required by the China Securities Regulatory Commission.

Chapter IV Qualifications of Senior Managers

Article 13 Fund employees who intend to be senior managers of fund management companies and fund trust management departments shall

The unit to be employed shall submit materials to the China Securities Regulatory Commission in accordance with the requirements of these Provisions and be audited by the China Securities Regulatory Commission in accordance with the provisions of Article.

Pieces, you can serve.

Article 14 A fund employee who applies for the post qualification of a senior manager shall meet the following conditions:

(1) Having the qualification of fund practice; Or have other securities work experience recognized by the China Securities Regulatory Commission;

(two) with rich professional management knowledge and experience, strong management and professional work ability and good

Manage work performance;

(3) The senior management personnel of the proposed fund management company shall have three or five years' experience in fund business.

Working experience in securities finance business;

As a senior manager of the fund custody department, he should have more than three years of banking experience;

(4) Other conditions stipulated by the China Securities Regulatory Commission.

Article 15 The senior managers to be employed by fund management companies and fund custody departments shall be in addition to these Provisions.

In addition to the materials specified in Items (1), (2) and (3) of Article 9, the following materials shall also be submitted to the China Securities Regulatory Commission.

Materials:

(1) A photocopy of the qualification certificate for fund practice or a certificate of working experience in fund business and securities business;

(two) the opinions of the applicant recommended by the proposed employer;

(3) Other materials required by the China Securities Regulatory Commission.

Chapter V Daily Management

Article 16 China Securities Regulatory Commission's investment in fund management companies, senior managers of fund custody departments and fund managers.

Conduct annual inspections, and conduct regular or irregular inspections on the practice of fund employees.

Article 17 The qualifications of fund practitioners and fund managers shall not be changed because of their resignation.

Unit behavior and failure; However, those who have obtained the qualifications of fund practitioners and fund managers have not worked in the foundation for 18 months in a row.

Gold business activities, its qualification automatically invalid. Re-engaging in fund business shall be re-applied in accordance with the procedures required by these Provisions.

Please apply for relevant qualifications.

Article 18 Where a fund management company or fund custody department needs to dismiss senior managers, it shall obtain the China certificate in advance.

JISC will agree and recommend new candidates; Persons who are not recognized by China Securities Regulatory Commission, fund management companies and funds.

The trusteeship department shall not appoint its senior managers.

Article 19 Fund employees shall abide by relevant state laws, regulations and industry norms, and be honest and diligent.

Due diligence, shall not engage in the following activities:

(a) ultra vires or illegal operation;

(2) Violating the fund contract or custody agreement.

Deliberately damaging the legitimate interests of fund holders or other fund-related institutions;

(4) Practicing fraud in the materials submitted to the China Securities Regulatory Commission;

(5) Refusing, interfering, obstructing or seriously affecting the supervision by the China Securities Regulatory Commission according to law;

(six) dereliction of duty, abuse of power;

(7) disclosing the high-tech secrets of securities and funds known during his tenure;

(8) Other acts prohibited by laws, administrative regulations and the China Securities Regulatory Commission.

Article 20 Fund employees shall not work part-time in other business institutions or engage in activities related to their own jobs.

Any other profit-making activities. Senior managers and fund managers who work part-time in non-operating institutions shall

Report to the China Securities Regulatory Commission for the record; Other employees who work part-time in non-operating institutions shall report to the employer for the record.

Article 21 If a fund employee changes his employing unit, he shall, within three months from the date of leaving the employing unit,

Shall not engage in fund investment business in the new employer.

Twenty-second fund practitioners shall not disclose the undisclosed information of the original employer after leaving the original employer.

Have to occupy the business opportunities of the original employer for others or themselves; The senior manager and fund manager left the original unit three times.

You may not buy or sell stocks still held by funds managed and operated by the original unit for yourself or others within the month.

Article 23 When the general manager of a fund management company leaves office, the board of directors of the company shall audit and examine his departure.

The results are reported to the China Securities Regulatory Commission for the record; When other senior management personnel leave their posts, the employing unit shall conduct an exit inspection on them.

The inspection results should be reported to another China Securities Regulatory Commission for the record.

When the senior managers of the Fund Custody Department leave their posts, the Fund Custodian shall report the inspection results of their departure to China.

Securities and Futures Commission for the record.

Chapter VI Punishment

Twenty-fourth fund practitioners who have obtained the qualification of fund practice violate the relevant laws, regulations and

The provisions, in addition to punishment in accordance with relevant laws and regulations, the China Securities Regulatory Commission may, depending on the seriousness of the case, be punished in accordance with these provisions.

The following penalties:

(1) warning;

(2) Suspend the relevant qualifications of fund practitioners for 6 months to 12 months;

(3) If the relevant qualifications of fund practitioners are cancelled, within 3 years from the date when the relevant qualifications of fund practitioners are cancelled.

Not accepting the application for relevant qualifications of its fund practitioners;

(four) cancel the relevant qualifications of fund practitioners, and permanently refuse to accept the relevant qualifications of fund practitioners.

Apply.

Twenty-fifth fund practitioners in any of the circumstances listed in Article 8 of these Provisions, the China Securities Regulatory Commission will cancel its foundation.

Relevant qualifications of gold practitioners.

Article 26 The senior managers of the Fund were arrested or revoked by the relevant administrative departments on suspicion of violating laws and regulations during their tenure.

During judicial investigation or trial, fund management companies and fund custody banks shall take necessary measures.

China Certificate, an important measure to ensure the normal operation of fund management companies and fund custody departments and the safety of working capital assets.

JISC can also suspend the relevant qualifications of its fund practitioners according to the situation.

Chapter VII Supplementary Provisions

Article 27 The qualifications of the chairman of a fund management company shall refer to the relevant provisions on senior management in these Provisions.

Fixed execution.

Article 28 The appointment of a director of a fund management company shall be examined by the China Securities Regulatory Commission.

The appointment and removal of inspectors of fund management companies shall be reported to the China Securities Regulatory Commission for approval.

Fund management company, assistant general manager of fund custody department, department manager and fund manager.

The appointment and removal shall be reported to the China Securities Regulatory Commission for the record.

Article 29 The China Securities Regulatory Commission shall be responsible for the interpretation of these Provisions.

Thirtieth the provisions shall come into force as of the date of promulgation.

1999101October 30th