How to conduct annual inspection for securities qualification practitioners? Is it an exam? If I don't go to work within two years after getting the certificate, how can I have an annual inspection?
And if you only pass the securities qualification examination, the certificate you get is the securities qualification certificate. Because the exam results are valid all the year round, the qualification certificate is also valid all the year round, and there is no need for annual inspection. After you go to work in a securities company, the company will help you get a practicing certificate. At this time, the practice certificate needs to be inspected once every two years. You don't have to worry about that. The annual qualification inspection is generally handled by the company.
I think it's good to get the qualification certificate after taking the exam at school. If you enter a securities company after graduation, you can apply for qualifications directly. As for the annual inspection of practicing certificate, it is not something you need to consider now.
First of all, institutions should conduct self-examination on the practice registration of employees, and truthfully fill in the Institution Information Registration Form (attached table 1) in the practice certificate management system. At the same time, according to the tips of the practice certificate management system, notify the employees within the scope of annual inspection this year to fill out the Application Form for Annual Inspection of Practice Certificate.
After the individual fills in the form, the institution shall carefully review the content filled in by the individual to ensure the authenticity and completeness, and verify whether the follow-up vocational training and practice of the employees meet the relevant requirements of the annual inspection. After the internal audit procedure of the institution is completed, the summary statistics can be made through the practice certificate management system, and the list of employees who meet the annual inspection requirements and the list of employees who do not meet the annual inspection requirements can be made.
Second, the internal publicity of the annual inspection results
The institution shall publicize the institution information filing form, the list of employees who meet the annual inspection requirements and the list of employees who do not meet the annual inspection requirements in the company office system 10 working days. During the internal publicity period, the institution shall promptly investigate and verify the complaints and objections received, and correct the summary information. After the end of the internal publicity period, the institution shall publish the institution information filing form and the list of employees who do not meet the annual inspection requirements through the practice certificate management system.
The institution shall urge those who do not meet the annual inspection requirements to suspend their practice. If an employee fails to pass the annual inspection due to insufficient follow-up vocational training hours, the institution shall require him to make up the training hours as soon as possible before attending the annual inspection.
The third is to publicize it through the website of the association.
The association will publicize the list of employees who meet the annual inspection requirements submitted by various institutions to the public through the association website for 20 working days. During the period of publicity, the public may lodge complaints and objections to the association and related institutions, and the association and related institutions shall promptly investigate, verify and correct the relevant publicity information. After the end of the publicity period, each institution shall submit a written report on the self-inspection of the implementation of the Measures and Detailed Rules to the Association. Attach the organization information filing form, the list of employees who meet the annual inspection requirements and the list of employees who do not meet the annual inspection requirements. The person in charge of the company and the qualification administrator shall sign the written document and affix the official seal of the company.
At the same time, institutions should urge those who do not meet the annual inspection requirements to complete the rectification within 20 working days, and the rectification period ends. Those who still do not meet the requirements of the annual inspection will be included in the list of those who fail the annual inspection and announced by the association.
Annual inspection publicity information is subject to public supervision. The relevant departments of the involved institutions are obliged to accept real-name complaints, and anonymous complaints will not be accepted. After investigation and verification of complaints, institutions should promptly handle and inform the association, so as to correct the annual inspection publicity information. If the institution refuses to accept the relevant complaint, the complainant can complain directly to the association.
Four. The association announces the annual inspection results and confirms the annual inspection results.
The annual inspection bulletin board shall be set up on the website of the Association to disclose the annual inspection results and update the relevant information of registered securities practitioners.
Fifth, the association conducts on-site inspections and online spot checks.
During the annual inspection, the association will randomly select a number of institutions to conduct on-site inspection and online spot checks, including inspection of the information reporting of practitioners' practice registration, the filing and management of registration materials of institutions' practice certificates, and the implementation of the annual inspection of practice certificates.
6. Local associations shall confirm and charge the annual inspection results.