The senior managers of securities companies mentioned in these Measures (hereinafter referred to as senior managers) refer to the general manager, deputy general managers, financial officers, compliance officers, secretary of the board of directors and those who actually perform the above duties.
The members of the management committee, executive committee and similar institutions of securities companies exercising management responsibilities are senior managers. Article 3 The directors, supervisors, senior managers and heads of branches of a securities company shall obtain the qualifications recognized by China Securities Regulatory Commission (hereinafter referred to as China Securities Regulatory Commission).
A securities company may not employ unqualified personnel as directors, supervisors, senior managers and heads of branches, and may not authorize unqualified personnel to actually perform their duties in violation of regulations. Article 4 Directors, supervisors, senior executives and heads of branches of a securities company shall abide by laws, administrative regulations, rules, regulatory documents of the China Securities Regulatory Commission, articles of association and industry norms, abide by integrity and be diligent and conscientious. Article 5 The China Securities Regulatory Commission shall supervise and manage the directors, supervisors, senior managers and heads of branches of securities companies according to law.
The qualifications of directors, supervisors, senior executives and heads of branches of securities companies shall be approved by the dispatched offices authorized by the China Securities Regulatory Commission (hereinafter referred to as the dispatched offices) according to law. Article 6 The China Securities Association and the stock exchange shall conduct self-discipline management on the directors, supervisors, senior managers and heads of branches of securities companies according to law. Chapter II Qualifications Section 1 Basic Conditions Article 7 No one may serve as a director, supervisor, senior manager or head of a branch of a securities company under any of the following circumstances:
(1) The circumstances specified in the second paragraph of Article 131, Article 132 and Article 133 of the Securities Law.
(two) due to major violations of laws and regulations by the financial supervision department administrative punishment, the expiration of the implementation of less than 3 years;
(3) It has been revoked by the China Securities Regulatory Commission for less than 3 years;
(4) It has not been more than 2 years since it was identified as an inappropriate candidate by the China Securities Regulatory Commission;
(five) other circumstances identified by the China Securities Regulatory Commission. Article 8 To obtain the qualifications of directors, supervisors, senior managers and heads of branches of a securities company, the following basic conditions shall be met:
(a) integrity, good conduct;
(two) familiar with the securities laws, administrative regulations, rules and other normative documents, and have the necessary management ability to perform their duties. Section 2 Qualifications of Directors and Supervisors Article 9 To obtain the qualifications of directors and supervisors, in addition to the basic conditions stipulated in Article 8 of these Measures, the following conditions shall be met:
(a) engaged in securities, finance, law, accounting work for more than 3 years or economic work for more than 5 years;
(2) Having a college degree or above. Article 10 To obtain the post qualification of an independent director, in addition to the basic conditions stipulated in Article 8 of these Measures, the following conditions shall also be met:
(a) engaged in securities, finance, law and accounting for more than 5 years;
(2) Having a bachelor's degree or above and a bachelor's degree or above;
(3) Having the time and energy necessary to perform their duties. Article 11 An independent director shall not have any relationship with a securities company, conflict of interest or other circumstances that may hinder independent and objective judgment.
The following persons shall not serve as independent directors of a securities company:
(a) personnel working in securities companies or their related parties, close relatives and major social relations personnel;
(2) Persons who work in the following institutions, their close relatives and major social relations personnel: units that hold or control more than 5% equity of securities companies, the top five shareholder units of securities companies, and institutions that have business ties or interests with securities companies;
(3) A natural person who holds or controls more than 65,438+0% equity of a listed securities company, a natural person shareholder among the top 65,438+00 shareholders of a listed securities company, or a natural person who controls more than 5% equity of a securities company and his close relatives;
Persons who provide financial, legal and consulting services for securities companies and their related parties and their close relatives;
(5) Persons under any of the circumstances listed in the first four items in recent 1 year;
(6) Persons who hold positions other than independent directors in other securities companies;
(seven) other personnel identified by the China Securities Regulatory Commission. Article 12 To obtain the post qualifications of chairman, vice-chairman and chairman of the board of supervisors, in addition to the basic conditions stipulated in Article 8 of these Measures, the following conditions shall also be met:
(a) engaged in securities work for more than 3 years, or financial, legal and accounting work for more than 5 years, or economic work 10 years;
(2) Having a bachelor's degree or above or obtaining a bachelor's degree or above;
(3) Having passed the qualification test recognized by the China Securities Regulatory Commission.