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How long is the exam result valid? What are the subjects of investment consultant examination

Is an investment consultant a sale? An investment consultant is not a sale. The investment consultant provides advice to the client for reference, and the decision is made by the client himself. The clients are responsible for the profits and losses. Securities companies may charge fees for investment consulting services in the form of differential Commission, single consulting fee according to the amount of assets or service period, etc.

Is an investment consultant a sales consultant

Investment advisers are not sales

The purpose of securities investment consultant is to provide investment advice for clients, such as trading opportunity, hot spot analysis, securities selection, risk warning, etc. it is forbidden to operate on behalf of clients. In other words, the investment consultant provides advice to the client for reference, and the client makes the decision by himself. The clients are responsible for the profits and losses. Securities companies may charge fees for investment consulting services in the form of differential Commission, single consulting fee according to the amount of assets or service period, etc.

Investment consultant refers to those who are paid to provide investment advice. It is a very important role in investment services. Investment consultant can be divided into broad sense and narrow sense. In a broad sense, investment consultants can refer to professionals who provide professional advice for financial investment, real estate investment, commodity investment and other investment fields. In a narrow sense, investment consultant refers to the person who provides professional securities investment consulting services for securities investors (usually shareholders) in the securities industry (such as securities companies or professional securities investment consulting institutions).

Period of validity

The securities investment consultant competency examination is one of the special business qualification examinations. After passing the special business qualification examination, candidates should participate in and complete the corresponding business training organized by China Securities Association every year. If the training is not completed as required, the qualified results are no longer valid.

Investment advisory examination subjects

Securities investment consultants need to pass the special business qualification examination of securities industry. To apply for the special securities business qualification examination, you need to pass the basic knowledge of financial market and the basic laws and regulations of securities market.

After passing the entry qualification examination, they are qualified to apply for the course of securities investment consulting business.

If one of the prescribed subject combinations has passed the examination with valid results and meets the qualification conditions for applying for practice registration, those who meet the educational background and other prescribed conditions can apply for practice registration and obtain the practice certificate according to the prescribed procedures.