What should an investment consultant bring?

The general daily work of securities investment consultants is to analyze the trend of stocks and the broader market and provide investment advice to customers, such as buying and selling timing, hot spot analysis, securities selection, risk warning and so on. Securities investment consultants are prohibited from operating on behalf of customers, and customers can enjoy their professional services by signing contracts with them.

To apply for securities investment consultants, you need to meet the following conditions: pass the general qualification examination, that is, pass the subjects of the general qualification examination "Basic Knowledge of Financial Market" and "Basic Laws and Regulations of Securities Market".

Therefore, the threshold for securities investment consultants is not high. In addition to passing the prescribed subjects in the examination, the following conditions shall be met when actually applying for registration:

(1) at least 18 years old;

(2) Bachelor degree or above;

(3) Having full capacity for civil conduct;

(4) It has been employed by this institution;

(5) It has not received any criminal punishment or major administrative punishment related to securities business;

(6) There is no circumstance specified in Article 132 of the Securities Law of People's Republic of China (PRC);

(seven) has not been recognized by the China Securities Regulatory Commission as the securities market banned, or has expired;

(8) Having People's Republic of China (PRC) nationality;

(nine) engaged in securities business for more than 2 years.

(ten), laws, administrative regulations and other conditions stipulated by the China Securities Regulatory Commission.

The professional registration of securities practitioners shall be carried out by the personnel (qualification administrators) designated by the institution, who shall be responsible for answering detailed questions such as registration process and registration materials.

Tips: The above information is for reference only.

Response time: 2021-01-13. Please refer to the latest business changes announced by Ping An Bank in official website.

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