Who must be qualified as a fund practitioner

In accordance with the China Securities Regulatory Commission and the ** Industry Association.

According to the relevant regulations of the industry association, industry practitioners need to have qualifications. So who exactly must obtain the ** practitioner qualification?

1. **Sales staff

The personnel of the sales agency refer to the personnel engaged in publicity and promotion, the sale of shares, the subscription and redemption of shares and other related activities in the management company and the sales agency entrusted by the management company. The management personnel responsible for the sales business should obtain the qualifications.

**Company headquarters and business outlets, head offices of commercial banks, branches and business outlets at all levels, professional sales agencies and investment consulting agency headquarters and business outlets engaged in **publicity, **wealth management business consulting and other activities personnel shall obtain ** sales business qualifications.

The above-mentioned practitioners shall be registered by the institution where they work, and no person shall engage in sales activities without the appointment of the ** manager or the ** sales agency.

2. **Relevant practitioners

Investment Law.

Since the promulgation of the revision in 2012, it has been clearly stipulated that employees shall have professional qualifications, including senior executives of managers and custodians, and at the same time, the establishment of managers and custodians requires that the number of qualified personnel reach a quorum.

In addition, the "Measures for the Administration of Investment** Sales stipulates that commercial banks, ** companies, ** companies, insurance institutions, ** investment consulting institutions, independent ** sales agencies, etc., to apply for ** sales business qualifications, they also need to have a certain number of qualifications, and the first sales business department management personnel must have.

3. Private equity practitioners

On February 5, 2016, the "Announcement on Further Regulating Several Matters Concerning the Registration of Private Placement Managers" clarified the senior management personnel of private placement managers.

It is necessary to have the relevant requirements for professional qualifications. All types of private equity managers engaged in private equity investment, their senior executives (including legal representatives, executive partners (appointed representatives), general managers, deputy general managers, and compliance and risk control.

The person in charge, etc.) shall obtain the first professional qualification. For all types of private equity managers engaged in non-private investment, at least 2 senior executives shall obtain professional qualifications, and their legal representatives, executive partners (appointed representatives), and persons in charge of compliance and risk control shall obtain professional qualifications. The person in charge of compliance and risk control of all types of private equity ** managers shall not engage in investment business.

**Qualification examination is a basic examination to enter the industry, each examination certificate setting, has its special value, **qualification certificate, is a certificate to prove that you have relevant knowledge.

The qualification examination certificate is a necessary certificate for engaging in related work. Nowadays, the first regulations require that there must be a corresponding certificate to engage in related business, which is an industry access card.

Extraction Code: UX7F **Private Equity for Qualification Examination **Equity Electronic Information Equity Tutorial 7 (Chapter 7).mp4 Equity Lecture 6 (5 chapters, 4 sections, 6 chapters).

mp4 Equity Lecture 5 (5:3).mp4 Equity Lecture 4 (5:1 2)mp4 Equity Lecture 3 (Chapter 4).

mp4 Equity Lecture 2 (Chapter 3).mp4 Equity Lecture 1 (1 chapter 2 chapters)mp4 [Shorthand Manual] Equity Investment** Basic Knowledge.

pdf 【Pre-exam Mock Paper Questions】Basic knowledge of equity investment**. pdf [Analysis of pre-exam mock papers] Basic knowledge of equity investment**. pdf [Test Center Intensive Lecture] Equity Investment** Basic Knowledge.

pdf 【Map Manual】Basics of Equity Investment**. pdf

According to the relevant regulations, candidates who participate in the ** qualification examination will have the ** qualification and ** sales qualification registration conditions after passing the prescribed subject examination.

Note: **The Qualifying Examination consists of three subjects. Subject 1:

**Laws and Regulations, Professional Ethics and Business Norms", subject 2: "**Investment** Basic Knowledge", subject 3 "Private Equity Investment** Basic Knowledge", candidates need to pass subjects 1 and 2 or subjects 1 and 3 to apply for ** qualification certificate.

**Qualification certificate to participate in the official examination organized by the China ** Industry Association, you can apply for the ** qualification certificate after 2 subjects, it should be noted that** qualification certificate is divided into public and private **, we need to choose the subject according to the direction of the future work we want to engage in. Private placement and public offering have a compulsory subject, laws and regulations, professional ethics and business norms, basic knowledge of investment, and basic knowledge of private equity investment.

If you want to apply for practice registration, you have to work in relevant companies and institutions, and they can apply for it. If you don't go to work in a related company, you have to pay attention to the validity period, ** The certificate of qualification is valid for four years, and those who do not go to work must participate in official training in time to maintain the validity period.

It is necessary to take the ** qualification examination and pass the prescribed subject examination before you have the ** qualification and ** sales qualification registration conditions.

**The Qualification Examination consists of three subjects:

Subject 1: "**Laws and Regulations, Professional Ethics and Business Norms", Subject 2: "**Investment** Basic Knowledge", Subject 3 "Private Equity Investment** Basic Knowledge", candidates need to pass subjects 1 and 2 or subjects 1 and 3 to apply for ** qualification certificate.

Take the ** Practitioner Qualification Certificate Examination.

Prerequisites: 1) Have full capacity for civil conduct;

2) Be at least 18 years old as of the date of application;

3) Have a high school education or above;

**Qualifications are formulated in accordance with the relevant provisions of the "Investment Law of the People's Republic of China", the "Measures for the Administration of Investment" and the "Code of Practice for Investment** Sales Personnel".

Personnel engaged in sales, consulting, etc., should have the most professional knowledge and skills required for sales activities, such as law, finance, finance, etc., and obtain the first professional qualification recognized by the association in accordance with the relevant regulations. ”

In order to improve the professional level and practice level of practitioners, the China Industry Association is scheduled to hold the qualification examination in September 2008.

Practitioners should follow the "Investment Law", various laws and regulations, self-discipline rules and professional ethics issued by the ***** supervision and administration authority and the ** industry association, and master the basic business norms. In order to enhance the awareness of compliance and legality of practitioners and improve the level of professional ethics and practice norms, the subject of "Laws and Regulations, Professional Ethics and Business Norms" is specially established.

The proficiency level is the minimum requirement for a candidate's mastery of professional knowledge, which is divided into three levels:

1) Mastery: Candidates must understand and skillfully use the content in the examination and practical work.

2) Understanding: Candidates must have a clear understanding of the concept, concept, principle, significance, and scope of application of the test center.

3) Understanding: As an extensive reading content, candidates have a basic understanding of it.

For individuals engaged in ** related work can obtain the following qualification certificates: ** professional qualification certificate, ** professional qualification certificate and CFA (Certified Financial Analyst, Chartered Financial Analyst).

According to the relevant regulations, the personnel engaged in publicity, promotion, consulting and other businesses shall have the necessary professional knowledge and skills in laws and regulations, finance, finance and other professional knowledge and skills necessary to engage in sales activities, and obtain the professional qualifications recognized by the association in accordance with the relevant regulations.

Practitioners refer to those who are formally employed by the China Securities Regulatory Commission (CSRC) or who have signed labor agreements with them in accordance with the law.

Practitioners must obtain the qualification certificate of practitioners in accordance with the relevant regulations of the China Securities Regulatory Commission before they can work in various professional positions; Without obtaining the qualifications of the industry, except for those who meet the exemption requirements, no one is allowed to work in various professional positions.

The CFA (Chartered Financial Analyst, Chartered Financial Analyst) exam is an internationally accepted professional qualification certification for financial investment practitioners. The certificate after the examination is recognized as the highest certification in the financial industry in the United States and the world, and it is also a necessary certificate for analysts of heavyweight financial institutions in the United States.

The qualification certificate is a certificate of entry into the industry, which belongs to the vocational qualification certificate. The qualification examination is an examination for sales personnel held by the China Investment Association.

According to the "Investment Law of the People's Republic of China" and other relevant laws and regulations, personnel engaged in publicity, promotion, consulting and other businesses shall have the necessary professional knowledge and skills in laws and regulations, finance, finance and other professional knowledge and skills to engage in sales activities, and obtain the professional qualifications recognized by the association in accordance with the relevant regulations.

**The qualification examination has three subjects: subject 1 "** laws and regulations, professional ethics and business norms", subject 2 "**investment** basic knowledge" and subject 3 "private equity investment** basic knowledge", the examination implements a 100-point system, and the examination pass line is 60 points. Candidates who have passed the examinations of subjects 1 and 2, or passed the examinations of subjects 1 and 3, have the registration conditions of ** qualifications.

**The qualification examination implements a unified national examination system, which is organized by the China ** Association, with a unified outline, unified test questions, and unified scoring standards. Those who take the examination and pass the examination will obtain the corresponding professional qualifications, and the certificate will be issued by the China ** Association.

The qualification certificate is a necessary certificate for entering the industry. Companies and financial institutions will use the qualification certificate as a screening criterion when recruiting talents.

**The qualification examination is helpful for finding a job and broadening your knowledge.

You can learn relevant theoretical knowledge, laws and regulations, etc., and enrich your knowledge reserves. It is very suitable for netizens who are getting started with investment and financial management, and understand the specific content of fundraising, operation, supervision, information disclosure, risk management, compliance control, and internal control through the study of certificates.

You can also engage in related business work through the qualification examination, and you can go to banks or non-bank financial institutions, listed companies, investment companies, large enterprise groups, financial and economic departments, and most of them are from sales positions. Many of the company's recruitment conditions have the requirement of "familiar with the relevant policies and laws and regulations of the industry, and those with the qualification certificate are preferred".

With the development of the industry, the number of applicants has increased significantly in recent years. What can it do?

**Who is the qualification certificate suitable for?

1. People who work in ** company: ** company should be sensitive to defend all of them to obtain ** qualification certificate;

2. Bank staff: There is a consignment business in the banquet, and the financial manager needs to obtain the first qualification.

3. Employees of other non-financial institutions: such as wealth management companies and P2P companies in the market that sell wealth management products, they also need to obtain the first qualification certificate.

4. **Company staff: **The company's on-the-job personnel are required to obtain the ** qualification certificate, or hold the ** qualification certificate + pass the ** qualification examination (subject 1 "** laws and regulations"), which is deemed to have obtained the ** qualification certificate.

At least 2 senior executives of private equity managers engaged in non-private investment business shall obtain professional qualifications, and their legal representatives and other responsible persons shall also obtain professional qualifications.

What is the use of taking the ** qualification certificate?

1.A "stepping stone" to the industry

Nowadays, with the rapid development of the financial industry, in recent years, the number of applicants for the professional qualification examination has also continued to grow. In this regard, due to the increasing number of people who choose to develop the industry, in order to improve the professional level of job seekers, enterprises have also increased the requirements for job seekers, and basically take the first practice certificate as the basic condition for job seekers. Especially for job seekers, under the same conditions of the same education, there will be a gap between the first certificate and the first certificate, as the enterprise is bound to give priority to those who hold the first certificate, which is also the overall status quo of our current job search.

2.Enhance self-worth.

In addition to the professional qualification certificate is a "pass" to enter the industry, applying for the professional examination is actually a manifestation of improving personal professional ability and self-worth. Don't think that obtaining the first professional certificate is to serve the enterprise, in fact, by learning the professional knowledge of the industry, it also greatly enriches your personal experience and professional knowledge, and brings better help in your future career development, promotion, promotion, etc.