In 2022, the continuing education cycle of securities practitioners' qualifications will implement the class record system. From the year following the first practice registration date, employees will participate in no less than 65,438+05 hours of follow-up vocational training every year, of which no less than 65,438+00 hours are required. The following are the main points of continuing education of securities qualification certificate. Let's have a look.
First, the training hours are determined according to the relevant personnel's practice, professional ability level evaluation, punishment measures, integrity, other professional reputation, contribution to industry development, social responsibility, etc. Implement differentiated management. In case of any of the following circumstances, the class requirements can be reduced or increased accordingly:
(1) If a securities company has been engaged in the securities business for more than 10 years, and there is no information of breaking the law or breaking promises or other negative professional reputation within the validity period, and it is not necessary for the securities company to verify its professional ability level, the training period will be reduced by 5 hours.
(2) If there is illegal and untrustworthy information or other negative professional reputation information within the validity period (except for administrative punishment and administrative supervision measures taken by China Securities Regulatory Commission and disciplinary and self-discipline management measures taken by industry self-regulatory organizations), or securities companies need to verify their professional ability level, 5 hours of training will be added during the training period.
(three) in the period of validity, there are illegal and untrustworthy information such as self-discipline management measures implemented by industry self-discipline organizations, and 30 hours of training are added during the training period.
(4) If there are illegal and untrustworthy information such as administrative punishment, administrative supervision measures taken by China Securities Regulatory Commission or disciplinary actions taken by industry self-regulatory organizations within the validity period, 45 hours of training will be added during the training period.
The term "within the validity period" mentioned in the preceding paragraph refers to the information of illegal dishonesty or other negative professional reputation, and refers to the year in which the validity period of relevant information covers the whole training cycle. In the same training period, if there are many illegal and untrustworthy information or other negative professional reputation information within the validity period, it will not be accumulated, and the relevant class hours will be determined by the highest one.
Two, employees in the following circumstances, you can credit the training hours of employees during the training period:
(1) Obtaining a degree or professional qualification. Those who have received professional education in accounting, law, finance, etc. related to securities business, and obtained the professional qualifications of certified public accountant, legal professional qualification, registered international investment analyst (CIIA) or chartered financial analyst (CFA), can get 5 hours of credit for each item in that year, with the total credit not exceeding 65,438+00 hours;
(two) to make outstanding contributions to industry development, cultural construction and social responsibility. Participate in relevant research, report writing, textbook writing, proposition review, training course research and development organized by the association, or make outstanding contributions to industry development, cultural construction, social responsibility, etc. , and then you can earn 5 hours, without cumulative calculation. Where other self-discipline rules of the Association provide otherwise, such provisions shall prevail.
If employees participate in relevant activities organized by the association and need to be included in the class hours, the association is responsible for recording and including the corresponding class hours. For other credits, the securities company where the employees are located shall submit relevant information and supporting materials through the management platform of the employees of the association, and identify the credits of the corresponding hours.