A. What conditions do I need to sign up for the sponsor qualification examination?

The registration conditions for the sponsor qualification examination are as follows:

1. Individual registration is not allowed for the sponsor representative qualification examination. Personnel of securities companies who are engaged in fixed income business and have obtained securities business qualifications can also sign up for the examination. Persons who pass the examination and meet other requirements stipulated by the China Securities Regulatory Commission may apply to the China Securities Regulatory Commission for registration as a sponsor representative in accordance with relevant regulations;

2. Formal personnel engaged in securities issuance, underwriting, mergers and acquisitions, fixed income of securities companies and other investment banking-related businesses;

3. Engaged in securities issuance, underwriting, mergers and acquisitions, fixed income and other investment banking related businesses for more than two years, including investment banking, securities underwriting, mergers and acquisitions, fixed income and other investment banking related business experience. The above time is determined according to the official working hours. * * * and informal jobs such as internships do not count.

(1) Extended reading of Bao Dai qualification examination

Because the examination requires high qualifications, professional ability and professional ethics of sponsors, there are only a handful of people who can pass the examination every year, and their worth naturally rises. Many investment banks do not hesitate to retain sponsors with high salary, high welfare and high commission, so the sponsor qualification examination has become the "most valuable" examination.

The sponsor's duty is to assist the listing applicant to apply for listing, be responsible for carefully examining and disclosing the applicant's relevant documents, and bear corresponding responsibilities. A sponsor shall, in accordance with the principles of openness, fairness, impartiality, standardization and voluntariness, engage in business within the scope approved by the Exchange, and shall not exceed the business scope and business authority without authorization.

B. insurance agent qualification certificate examination.

Last year's competency test for sponsor representatives was held on August 28th, and 20 12 has not been announced.

The exam is very difficult. The scope of the exam is wide, and the textbooks alone can kill people. The examination subjects are the comprehensive examination of securities knowledge and the professional examination of investment banking. The examination time for each subject is 180 minutes. The total score of each subject is 100, the passing line of the exam is 120, and the single subject is not less than 50. The next exam takes the form of a closed-book computer exam, and the topics are all objective questions. See the website of the Association (sac.cn) for the exam outline.

Those who fail to pass the competency test of the sponsor representative do not need to participate in the training of the China Securities Association. After passing, you must participate every year, otherwise the test results will be cancelled or the qualification of sponsor representative will be cancelled. At present, there is not much pre-test counseling in society, and this exam is too professional.

The pass rate is very low, only 1% at a time. If you pass the exam, the carp will jump over the dragon gate.

The examination registration work takes the form of unified registration by securities companies through the website of the association. As of July 3 1 day, the applicant shall meet the following conditions:

1. Formal staff engaged in securities issuance and underwriting, mergers and acquisitions, fixed income and other investment banking-related businesses in securities companies; 2, engaged in securities underwriting, mergers and acquisitions, fixed income and other investment banking related business for more than two years (including securities companies, law firms, accounting firms, asset appraisal institutions engaged in securities underwriting, mergers and acquisitions, fixed income and other investment banking related business experience). The identification of the above time should be based on the formal employment time, informal employment, such as * * *, internship, etc. , shall not be counted;

3, has obtained the qualification of securities practitioners (that is, through the securities practitioners qualification examination basic subjects and at least one professional subject).

All securities companies shall organize employees to sign up for the examination according to the registration conditions. A securities company shall substantially examine whether the applicant meets the registration requirements. Applicants who do not meet the registration conditions will have invalid test scores; At the same time, I will ask the CSRC to investigate the responsibility of the relevant securities companies.

C. The sponsor examination is several times more difficult than the securities qualification examination. Please consult the talented women who become sponsors.

There is no comparability between the two, because the nature and conditions of the two exams are irrelevant, because if you want to test sponsors, you have to work first. Compared with the two, the sponsor examination is more difficult than the securities qualification examination 1-3 times.

Examination conditions for sponsors:

1. Formal staff engaged in securities issuance and underwriting, mergers and acquisitions, fixed income and other investment banking-related businesses in securities companies;

2. Engaged in securities issuance and underwriting, mergers and acquisitions, fixed income and other investment banking related businesses for more than two years, and the working years are calculated as of June 20 13 and 2 1 year, and the working hours such as * * * and internship are not included in the working hours;

The sponsor's duty is to assist the listing applicant to apply for listing, be responsible for carefully examining and disclosing the applicant's relevant documents, and bear corresponding responsibilities. A sponsor shall, in accordance with the principles of openness, fairness, impartiality, standardization and voluntariness, engage in business within the scope approved by the Exchange, and shall not exceed the business scope and business authority without authorization.

Job responsibilities:

1. Confirm that listed companies meet the requirements of this Exchange, and provide opinions to the board of directors of enterprises on whether listed companies continue to meet the requirements after listing.

2. Guide and urge the directors, supervisors and senior managers of listed companies to understand and abide by the relevant laws and regulations and the relevant provisions of this Exchange, and promptly and accurately respond to the inquiries of listed companies and their directors, supervisors and senior managers about the rules of this Exchange.

D. Is there any requirement for academic qualifications in the sponsor representative examination? Can anyone take the exam?

To take the sponsor qualification examination, you must have working experience in investment banking and securities qualification certificate.

Specifically, the following conditions should be met:

1. Formal staff engaged in securities issuance and underwriting, mergers and acquisitions, fixed income and other investment banking-related businesses in securities companies;

2, engaged in securities underwriting, mergers and acquisitions, fixed income and other investment banking related business for more than two years (including securities companies, law firms, accounting firms, asset appraisal institutions engaged in securities underwriting, mergers and acquisitions, fixed income and other investment banking related business experience). The identification of the above time should be based on the formal employment time, informal employment, such as * * *, internship, etc. , shall not be counted;

3, has obtained the qualification of securities practitioners (that is, through the securities practitioners qualification examination basic subjects and at least one professional subject).

The examination subjects are the comprehensive examination of securities knowledge and the professional examination of investment banking. The examination time for each subject is 180 minutes. The total score of each subject is 100, the passing line of the exam is 120, and the single subject is not less than 50.

E. Is there any requirement for academic qualifications in the sponsor representative examination?

There is no requirement for the copy of academic degree in the sponsor representative examination. The examination registration conditions are as follows:

1. Formal staff engaged in securities issuance and underwriting, mergers and acquisitions, fixed income and other investment banking-related businesses in securities companies.

2. Engaged in securities underwriting, mergers and acquisitions, fixed income and other investment banking related businesses for more than two years (including securities underwriting, mergers and acquisitions, fixed income and other investment banking related business experience in securities companies, law firms, accounting firms and asset appraisal institutions), * * *, internships and other working hours are not included in the working time.

3, has obtained the qualification of securities practitioners (that is, through the securities practitioners qualification examination basic subjects and at least one professional subject).

In any of the following circumstances, the China Securities Regulatory Commission will remove the sponsor representative from the list:

1, the practice certificate is cancelled or revoked;

2. Do not have the investment banking experience stipulated by the China Securities Regulatory Commission;

3. The recommendation institution withdraws the recommendation letter;

4. Transfer from the sponsor institution or its investment banking department;

5. Undertake a large amount of outstanding debts due;

6. Being administratively punished by the China Securities Regulatory Commission for violating laws and regulations, or being sentenced to punishment for crimes;

7. Other circumstances stipulated by China Securities Regulatory Commission.

F. Examination registration conditions and examination subjects for sponsor representatives

The examination subjects are the comprehensive examination of securities knowledge and the professional examination of investment banking.

All securities companies engaged in securities issuance and underwriting, mergers and acquisitions and other investment banking businesses, as well as securities companies that have obtained securities business qualifications (that is, securities companies that have passed the basic subjects and at least one professional subject of the securities practitioners qualification examination) can sign up for this examination. The company should apply for a collective registration account on the website of the association and pay the fee.

In any of the following circumstances, the China Securities Regulatory Commission will remove the sponsor representative from the list:

1, the practice certificate is cancelled or revoked;

2. Do not have the investment banking experience stipulated by the China Securities Regulatory Commission;

3. The recommendation institution withdraws the recommendation letter;

4. Transfer from the sponsor institution or its investment banking department;

5. Undertake a large amount of outstanding debts due;

6. Being administratively punished by the China Securities Regulatory Commission for violating laws and regulations, or being sentenced to punishment for crimes;

7. Other circumstances stipulated by China Securities Regulatory Commission.

G. Can the newly obtained securities qualification take the competency test for sponsor representatives?

I can't.

The securities qualification examination is a national qualification examination and a qualification certificate of a national financial institution. It is also an entrance examination for the securities industry. There are two subjects in the securities qualification examination: foundation and specialty. If you only obtain the securities qualification certificate, have no relevant work in the securities industry, and have no work experience, you can't apply for the competency test for sponsor representatives.

Registration for the qualification examination for sponsor representatives shall meet the following conditions:

(a) the official staff engaged in securities issuance underwriting, mergers and acquisitions, fixed income and other investment banking related businesses in securities companies.

(2) Having been engaged in securities issuance underwriting, mergers and acquisitions, fixed income and other investment banking-related businesses for more than two years, including the experience of engaging in securities issuance underwriting, mergers and acquisitions and other investment banking-related businesses in securities companies, law firms, accounting firms and asset appraisal institutions (subject to the formal working time, excluding the internship time).

(three) to obtain the qualification of securities practitioners (that is, to pass the basic subjects and at least one professional subject of the qualification examination for securities practitioners).

H. What qualifications do I need to take as a sponsor representative?

Qualifications:

1, has more than 2 years working experience in investment banking, and has served as the project leader of at least one IPO, new shares or convertible bonds issued by listed companies at home and abroad since 1 in 2002. Only one project leader can be determined for a project;

2. Having more than 2 years' experience in investment banking, and having participated in at least two main underwriting projects of domestic and foreign initial public offerings and the issuance of new shares or convertible bonds by listed companies. Only two participants have been identified for a project, including a project leader;

3. Having more than 2 years' experience in investment banking, serving as a company executive in charge of investment banking, head of investment banking department, core head or other relevant investment banking heads, and the number of such personnel recommended by various comprehensive securities companies shall not exceed 2 times of the number of recommended channels.

Application conditions of sponsor representative:

1, with more than 3 years of relevant business experience in sponsorship;

2. Being a project co-organizer in the domestic securities issuance project as stipulated in Article 2 of these Measures;

3. Participate in the competency test of the sponsor representative recognized by the China Securities Regulatory Commission and the results are qualified and effective;

4. Honesty and trustworthiness, good conduct, no bad credit record, and no administrative punishment by the China Securities Regulatory Commission;

5. There is no large amount of outstanding debts due.

The sponsor representative refers to the intermediary between the listed reserve enterprise and the CSRC, which is equivalent to the representative of this enterprise and recommends the listing of the enterprise to the CSRC as a guarantee.

1. What conditions are required for the securities insurance qualification examination and what materials do you usually study?

Judging from your appearance, you shouldn't have contacted Baodai.

I don't know if you work in an investment bank or an accounting firm.

Without rich project experience, it is unrealistic to take an examination of insurance.

Baodai's examination qualification requirements are very high, but it is not specially audited, relying on consciousness.

If you forge your resume, apply for sponsorship and pass the exam, you may be disqualified for review.

At first, it was suggested to mix in the firm and take the CPA exam. Bao Dai is not something that a newcomer to an investment bank should consider.

You will become a quasi-insurance agent after passing the exam, and you can apply for an insurance agent certificate after undertaking IPO projects.

J: What subjects are required to obtain the qualification of "sponsor representative" of securities?

Subject of the introductory qualification examination for sponsor representatives: basic laws and regulations of securities market and basic knowledge of financial market.

The examination subjects of the competency examination for sponsor representatives, securities analysts and securities investment consultants are investment banking, publishing securities research reports and securities investment consulting respectively.

There are 1 examination subjects in each management qualification examination, namely, the qualification examination for senior managers of securities companies, the qualification examination for senior managers of securities rating business and the competency examination for compliance managers of securities companies.

The examination time of the introductory qualification examination for sponsor representatives is 120 minutes, and the examination questions are all multiple-choice questions, and the examination questions are 100 questions. The examination time of each vocational qualification examination subject is 180 minutes, with multiple-choice questions and 120 questions.

The examination time of each management qualification examination is 120 minutes, the examination questions are multiple-choice questions, and the examination questions are 120 questions. Full marks in various qualification examinations100; A score of 60 or more in the exam is considered as qualified.

The validity period of qualified scores shall be classified and managed: the qualified scores in the entry qualification examination shall be valid for a long time; Candidates who have passed the vocational qualification examination shall participate in and complete the corresponding business training organized by China Securities Industry Association every year; Failing to complete the corresponding business training as required, the qualified results are no longer valid; The validity period of the qualified results of the management qualification examination remains unchanged for 3 years.