Article 14 of the Interim Provisions on the Administration of Securities Brokers points out that securities companies should organize follow-up vocational training for securities brokers in accordance with the provisions of the Association.

Extended data

Interim provisions on the administration of securities brokers

first

In order to strengthen the supervision of securities brokers, standardize the practice of securities brokers and protect the legitimate rights and interests of customers, these Provisions are formulated in accordance with the Securities Law and the Regulations on the Supervision and Administration of Securities Companies (hereinafter referred to as the Regulations).

second

Securities companies can engage in activities such as customer solicitation and customer service through employees or people outside the company. Entrusting personnel other than the company shall be carried out in the form of securities brokers as stipulated in the Regulations, and shall not take other forms.

Article 7

A securities company shall provide securities brokers with no less than 60 hours of pre-job training, including no less than 20 hours of training in laws, regulations and professional ethics. Securities companies should test the effect of pre-job training for securities brokers.

Article 14

Securities companies shall, in accordance with the provisions of the association, organize the follow-up vocational training of securities brokers.

Baidu Encyclopedia-Interim Provisions on the Administration of Securities Brokers