In China, securities brokers need to have certain qualifications, such as passing the securities qualification examination and registering with the China Securities Regulatory Commission. Securities companies usually train and manage securities brokers to ensure that they abide by relevant laws and regulations, have sufficient professional knowledge and provide quality services to customers.
It should be noted that securities brokers are different from securities analysts. The main duties of securities analysts are to study securities products such as stocks and bonds, and provide investment analysis reports and suggestions, which usually require higher academic qualifications and financial expertise. Securities brokers, on the other hand, pay more attention to sales and services, and are mainly responsible for helping customers to conduct securities transactions.
In a word, according to the Securities Regulatory Regulations, securities brokers are usually regarded as employees of securities companies. They need to have certain qualifications to provide customers with services related to securities trading.