The third part of the purpose of the Securities and Exchange syllabus and requirements
This section includes the definition of securities transactions, type, type of transaction risk and risk prevention; the meaning of the securities brokerage business and characteristics of the securities brokerage business registration depository , commissioned sales, auction transactions, business management and supervision of Business; securities brokerage, proprietary trading, client asset management business, margin trading and repo transactions the basic knowledge and management requirements; liquidation, the concept of settlement and use; securities business department of the place management, business management, technology management, financial and security management, business department of the internal control objectives, principles and requirements.
through this part of the learning proficiency of the Securities and Exchange program trading rules, brokerage, proprietary trading, customer asset management, margin trading and repo transactions with the characteristics of the process; master the securities business operation and management of the Department of the basic content and requirements.
Chapter Overview
grasp the Securities and Exchange Securities transaction definition, characteristics and principles; Shuxi types of securities transactions; Shuxi way of securities transactions; Shuxi types of investors in securities; to master the conditions and the establishment of securities companies can conduct business; Shuxi stock exchange and the role of meaning; master securities exchanges and securities registration and settlement functions and role of the company.
master the Securities and Exchange program; Shuxi goal of the Securities and Exchange mechanisms; Shuxi types of securities trading system.
Membership master stock, rights and obligations; Shuxi Membership application and approval procedures; familiar with the Stock Exchange seats, meaning trading unit, species and management practices; familiar with the members of the Stock Exchange, the provisions of sanctions violations.
grasp the meaning of the Securities and Exchange Risk, types; familiar Securities and Exchange risk prevention system; familiar with the securities company's risk monitoring and management of the securities industry self-regulation.
Chapter
securities brokerage business, securities brokers familiar with the meaning and characteristics; master trading settlement account opening requirements; familiar with the principal securities trading and securities brokerage concepts, rights and obligations; familiar with securities accounts report the loss, re-submit, query of the procedures; familiar with the meaning and types of securities registration; familiar with the securities custody and securities depository concept; grasp the content of our securities custody system.
manage client transaction settlement funds and other third-party depository investors access to trading in securities funds the way; to master the content of directive commission; familiar with the securities commission in the form; master the commission accepted the procedures and processes; master commissioned the declaration of principles and methods of reporting; familiar with the commission revoked the conditions and procedures for instruction. < br> grasp the principles of securities trading and auction bidding.
familiar with securities trading in the types of transaction costs; grasp the meaning of various types of transaction costs and fees.
familiar with the risks of the securities brokerage business types; master brokerage risk prevention measures; familiar with the brokerage business supervision and check the contents.
other matters Chapter brokerage online stock issued
grasp the meaning, types and characteristics; master online issue of the stock purchase program and online issuance of funds.
the meaning of acts of service familiar with the company; master payment of dividend distribution and placement process of operation; Shuxi conversion of convertible bonds operational processes; Shuxi shareholders meeting to vote network operational processes.
Shuxi open-end fund listed on the relevant provisions of the business ; familiar with the transaction-based index funds when opening the business requirements; Shuxi the relevant provisions of the business warrants.
master stock trading system block trading and the turn; Shuxi stock special treatment provisions; Shuxi listed on the SME board stock suspension, termination of listing particular requirements.
control opening, closing price of the production methods; Shuxi Stock Exchange listed securities, delisting, suspension and resumption of trading rules; grasp the Securities Ex (income) approach and the ex (interest) price will be calculated; Shuxi Securities and Exchange exception handling requirements; Shuxi qualified foreign institutional investors with the relevant provisions of the Securities and Exchange.
Shuxi Stock Exchange rules for information dissemination and management; master stock provisions on the supervision of trading practices.
familiar with the financial futures trading and settlement system; familiar with the financial futures of the risk control measures.
securities firm grasp of the meaning and share transfer agent business; familiar with the share transfer agent services in the eligibility conditions; familiar with the transfer of the share transfer agents commissioned the qualifications.
Chapter securities dealers and securities assets management business
grasp the meaning of self-service, characteristics; to master the basic security requirements of proprietary business management; Shuxi prohibited conduct securities business of the contents of self- ; Shuxi securities self-regulatory legal and business responsibilities.
grasp the meaning of asset management business and types; familiar with the client asset management business, the basic principles of management, operations management, asset management general provisions and set basic standards for business operations; Shuxi asset management business of securities companies to obtain the conditions for eligibility; Shuxi set the record collection of asset management plans and approval procedures; Shuxi manual collection of the basic asset management plan content; Shuxi asset management contract should include the basic issues and main content; familiar with the client assets managed the relevant provisions and requirements; Shuxi asset management business of the relevant provisions of the prohibited acts; Shuxi asset management business of securities companies and the rights and obligations of customers; Shuxi asset management business risks and preventive measures; Shuxi asset management business and asset management regulatory measures Business violation of relevant laws and regulations of legal liability.
Chapter margin trading
grasp the meaning of margin trading, margin trading business qualification management familiar with the basic requirements.
master the management of margin trading basic principles; control of the margin trading account system; familiar with the application of the margin trading business customers, customers credit research, customer selection criteria; familiar with business contracts and risk margin reveals the basic content of the book; familiar with the basic customer account requirements and the identification and credit line of credit approach.
grasp the general rules of margin trading; grasp the scope of the underlying securities; familiar with the securities used to offset margin calculation, the proportion of margin trading and margin calculation, margin balances and available calculation, customer collateral monitoring; Shuxi interest margin securities during the treatment; margin business information disclosure and reporting.
Shuxi margin securities companies and types of business risk control; Shuxi margin business regulatory and legal responsibilities.
Chapter repo transactions
master bond pledged repo transactions; master bond pledged repo stock the basic rules; familiar with the national inter-bank market bond collateral The basic rules of repurchase transactions outright bond repurchase
familiar with the meaning of the transaction; familiar with the inter-bank market on trading rules outright repurchase, risk control and supervision and punishment measures; familiar with the Shanghai Stock Exchange buy-back basic rules of share trading.
Chapter VII of the clearing and settlement
master settlement, the concept of settlement; familiar with the clearing and settlement and Differences; grasp the principles of clearing and settlement; master settlement account management related regulations and requirements.
master of the Shanghai market, the Shenzhen A share market, funds, bonds and other varieties of clearing and settlement; familiar with the settlement of qualified foreign institutional investors approach.
master of the Shanghai market, the Shenzhen B share market clearing and settlement.
master repurchase of securities clearing and settlement transactions.
familiar with China's exchange-traded index funds in the clearing and settlement.
familiar with the country's clearing and settlement warrants. < br> familiar with the liquidation of margin trading and settlement.
familiar with the securities business departments and funds settlement process between investors.
Chapter VIII of the securities business department of management and internal control
familiar with the business Ministry (Service) to establish, change and termination conditions and approval procedures; Shuxi Sales (Services) of the business; Shuxi brokerage brokerage business operating procedures of internal control and the main content; familiar with the business types and principles of error; familiar with the transaction system of common faults and emergency treatment.
familiar with information systems of internal control, information systems technical operation of the main contents and requirements; familiar with information systems and emergency treatment of common faults.
Shuxi business department within the financial accounting system control of the main content; Shuxi business department financial management, and main content of the basic requirements; Shuxi sales department management of customer funds and own funds requirements; Shuxi composition and distribution of profits, revenue accounting and management; familiar with the financial report of the main content, preparation, submit the requirements and methods of financial evaluation.
familiar with the basic business site content and safety management requirements; familiar with the types of emergencies, the principles of prevention and disposal requirements.
grasp the concept of business department of internal controls; grasp Sales objectives and principles of internal control; master of business the basic requirements of the Ministry of internal control.
the fourth part of the securities investment analysis purposes and requirements
this section including stocks, bonds, securities investment funds, convertible bonds and Analysis of the investment value of such warrants; basic indicators of macroeconomic analysis, macroeconomic performance, economic policy and the international financial market environment and the relationship between stock market; the stock market and the changes in the determinants of supply and demand characteristics; industry in general characteristics, influence major factor in the rise and fall as well as industry sectors qualitative and quantitative analysis methods; the basic characteristics of the company analysis, financial analysis and other analysis of key factors; securities investment technical analysis of the main theory and the major technical indicators; portfolio theory, capital and securities pricing model portfolio performance evaluation.
through this part of the learning proficiency of the value of investments in securities analysis, macroeconomic analysis, industry analysis, company analysis, technical analysis and portfolio theory and application of foundation.
The first chapter of securities investment securities investment analysis outlined
familiar with the meaning and significance; familiar with the meaning of the efficient market hypothesis; grasp the concept of efficient markets and classification; familiar with the characteristics of three types of effective market analysis and guidance on the meaning of securities investment; Shuxi securities investment analysis of information sources; Shuxi major investment of the existing concept of the securities market and investment strategies.
Shuxi Brief History of the securities investment analysis; familiar with the basic analysis, technical analysis, psychological analysis and academic analysis of the characteristics of such schools; Shuxi Securities The basic elements of investment analysis; grasp the basic analysis, technical analysis, portfolio analysis definition, rationale and content; familiar with the securities investment analysis should pay attention to the problem.
Chapter II of the investment value of securities < br> Shuxi time value of money, future value and present value of money concepts; master the simple interest and compound interest calculated at the final value and the present value of the currency.
Shuxi affect bond and stock investment value of the internal and external factors and their impact mechanism; Shuxi bonds intrinsic value and intrinsic value of stocks, interest-bearing bonds, the concept of a bond debt service; master coupon bond and a debt service bonds calculated at simple interest and compound interest intrinsic value, calculate the transfer price of bonds; familiar with the necessary bonds and stocks yield, yield to maturity within the meaning of and the estimated rate of return principle; familiar with the market expectations theory, liquidity preference theory of market segmentation theory and basic concepts; grasp the concept of the term structure of interest rates and types.
are familiar with stock investments, net The concept of value and to calculate; grasp the intrinsic value of stock calculated growth model with different principles and formulas; familiar with the estimated market price of the stock price-earnings ratio method and its limitations, familiar with the basic concept of book value and its use in the stock valuation. < br> familiar with the concept of ETF and LOF, LOF and grasp the intrinsic value of ETF analysis, secondary market analysis and investment value of arbitrage mechanism.
familiar with the definition of financial futures; master the technical terms related to financial futures; master the financial futures formula for calculating the theoretical price and impact factor. familiar with the definition of financial options; to master the relevant terminology of financial options; grasp the intrinsic value of options, time value and influencing factors.
convertible securities to master the relevant terminology; master can be converted stock conversion premium, conversion premium, conversion parity calculations; familiar with the premium rate of conversion of convertible securities, the conversion premium ratio is calculated.
grasp the intrinsic value of warrants; familiar with the theoretical value of the warrants and the market price of the underlying stock market prices and the relationship between the subscription price; familiar with the leverage of warrants.
Chapter macroeconomic analysis, macroeconomic analysis
familiar with the meaning; familiar with the aggregate analysis and structural analysis of the definition, characteristics and relationships; familiar with the macro- Analysis of data collection and processing methods.
familiar with the national overall target of investment indicators, consumption indicators, financial indicators, financial indicators of the main contents of the indicators are familiar with the macroeconomic impact of change.
master GDP value of the concept and calculation method, familiar with the gross domestic product and gross national product and their connection; grasp the concept of unemployment and inflation, unemployment and inflation rates are familiar with the method of measurements; familiar with the international balance of payments, retail sales of social consumer goods The total savings deposits of urban and rural residents and other indicators of content; master the three levels of money supply; familiar balance of deposits and loans of financial institutions, meaning the total amount of financial assets and composition; familiar interest rates, exchange rates and foreign exchange reserves of meaning. < br> master the stock market and the relationship between macroeconomic performance; familiar with the Chinese stock market performance and GDP, the economic cycle, the impact of currency movements on the securities market; familiar with the trend of China's stock market index and the GDP growth trend of the actual relationship.
understands finance and fiscal policy instruments, monetary policy and monetary policy tools, the meaning of income policies, characteristics and impact on the stock market; Shuxi income policy objectives and the transmission mechanism; familiar with the international financial market conditions and expectations for the market exchange rate impact.
familiar with the decision of the stock market supply and demand theory; get hold of the stock market supply and demand factors and the impact of China's securities market supply and demand changes in the basic system.
Chapter trades and master of industry analysis
The definition of industry analysis; familiar with the industry and industry differences; familiar with the industry analysis tasks, status and significance; familiar with the industry analysis and company analysis, macro analysis of the relationship; master industry classification; control of the market structure and meaning of various markets, characteristics and composition; familiar with the government monopoly with private monopoly concept.
control the type of industry, running all kinds of industry changes and the relationship between the economic cycle, specific performance, causes and investor preferences; master the industry life cycle meaning, the order of development, performance characteristics and criteria; Shuxi stage companies in the period of risk, profitability and investor preferences; familiar with the industry downturn of the kind; Shuxi indicators to judge the industry life cycle and change process; Shuxi output growth rate limits of empirical data; grip of the rise and fall in real terms and influencing factors; familiar features of technical progress and impact of the industry; mastery of technology industries division of standards; familiar Moore's Law, Gilder's law concepts; familiar concept of industrial policy, content; familiar with the innovative content of industrial organization.
familiar with economic globalization, the protocol type of the meaning of division of labor and acquired factors; familiar with the performance and economic globalization, the main reason; familiar with the transfer of global industries, changes in international division of labor based on the main elements and models; Shuxi theory of trade and investment integration.
familiar with history research method and research information on the meaning of law and the advantages and disadvantages; familiar with history data; Shuxi investigation of specific methods, advantages and disadvantages, applicability; control of induction and deduction method, horizontal and vertical comparison of the meaning of comparative law; familiar with the horizontal comparison of the index selection and determination method; familiar with the life cycle stage to determine industry growth forecasts for analysis.
grasp the correlation between the time series of concepts and classifications; familiar with the causal relationship between covariance; familiar with the product-moment correlation coefficient and correlation coefficient from the meaning, scope and numerical computation; master the linear regression equation of the application; control criterion for time series; familiar with the commonly used time series forecasting methods.
s chapters company analysis
control companies, listed companies and companies of the concept and the way the company fundamental analysis; familiar with the company's competitive position in the index industry.
economic position to grasp the concept; familiar with the economic position of the purposes and means; Shuxi natural conditions, basic conditions and economic characteristics of the content and the role of the company; Shuxi the role of industrial policy of the company.
familiar with the product the meaning of competitive advantage, implementation; grasp the concept of market share; familiar with the brand's meaning and function.
master the corporate governance structure, ownership structure, norms and the meaning of stakeholders; familiar sound corporate governance and a concrete manifestation of the relevant requirements of the independent director system; familiar with the role and responsibilities of the board of supervisors; familiar with the quality of meaning and company managers, business personnel should possess the following qualities; Shuxi the meaning of business strategy, content and features; familiar with the company expanding the scale of changes in characteristics and growth potential of the relationship with the company; familiar with the company's main way of growth.
listed in the company familiar with the basic analysis of research focused primarily on surface; familiar with the detailed analysis of indicators.
familiar with the balance sheet, profit distribution and cash flow statement of the meaning, content, format, presentation and the assets, liabilities and equity relations; Shuxi income statement reflects the content.
familiar with the main body of the financial statements, statements of purpose and function, methods and principles; Shuxi comparative analysis and factor analysis of the meaning; familiar with common comparison.
familiar with the meaning of financial ratios, classification and analysis of the baseline rate; control company liquidity, operational capacity, long-term solvency, profitability and return on investment calculation, influencing factors and to calculate the index of meaning; grasp the current ratio and quick rate factors; Shuxi factors affect the quick ratio credibility; familiar or contingent liabilities of the concepts and content; Shuxi affect the structure and inventory turnover rate of the index; Shuxi debt ratio and equity ratio, debt ratio and tangible net asset value the relationship between the ratio of property rights; familiar with the finance lease and operating lease accounting treatment of the difference between the way; familiar with the liquidity and financial flexibility of meaning; grasp the current statistical debt due to the object; familiar with the evaluation of the role of these indicators, changes in characteristics and the corresponding financial performance and the relationship between variables.
Shuxi Wall score selection and the proportion of the ratio; Familiar with Synthesis evaluation; Shuxi EVA meaning, calculation methods and their applications; familiar with the company's attention to matters of financial analysis; Familiar with various types of capital increase the impact on their financial structure.
familiar with the Financial Statements The project's main project, master the Financial Statements of the basic financial ratios.
familiar with the assets of the company restructuring and related transactions the primary way, the specific behavior, characteristics, nature and the associated legal requirements; familiar with the reorganization of assets and related party transactions on corporate performance and business impact; familiar with the use of the market value method, replacement cost approach, income approach assessment of the value of company assets and the advantages and disadvantages of the steps .
familiar with the meaning of the accounting policies and accounting policy and tax policy changes impact on the company.
Chapter Investment
familiar with technical analysis technical analysis of the meaning of factors, assumptions and theoretical basis; familiar with the price and volume between variation; grasp the basic principles of the Dow Theory; Shuxi technical analysis methods and characteristics of the classification.
Shuxi drawing the line graph of K; Shuxi K line of the main application of shapes and combinations thereof; Shuxi meaning and trends type; master support line and pressure line, trend line and the rail line, the golden section line and the percentage of the line meaning, role; familiar with the laws of stock price movement; familiar with the stock price movement patterns; master the reversal patterns and continuation patterns break the formation process characteristics and application of the rules.
familiar with the basic meaning of the gap, types, characteristics and application methods.
familiar with the wave theory, the classical theory of price-volume relationship between the basic idea, the main principle; familiar with the theory of random walk, cycle theory, on the contrary theory and the basic ideas of chaos theory; relationship between price and volume control rules Gelan Bi; familiar with the system of price limits of the relationship between volume and price.
familiar with the meaning of moving average, characteristics and calculation methods; master Glenn Will rule; familiar with the golden cross The concept of cross and death; Shuxi combination of a number of moving average method; Shuxi smoothed moving average calculation of similarities and application of rules.
Shuxi William indicators and the meaning of the relative strength index, calculation methods and application of rules; Shuxi hit top (bottom) number, departure from, the concepts of curve shape.
familiar with the deviation rate, mental ray, energy flows, Teng down Index, Change ratio, overbought oversold, sentiment, trade and other indicators will and wishes of the basic intermediate meaning and calculation, familiar with the application of rules; familiar with Bollinger Bands, Parabolic index, stock index options, Pagoda line, tend to target the basic meaning, application rules.
Chapter VII of the portfolio management theory
familiar with the portfolio meaning, causes, types, criteria for the classification and characteristics; Shuxi the meaning of the securities portfolio management, characteristics, basic steps; familiar with modern portfolio theory system of the formation and development process; Shuxi Markowitz, Sharpe, Ross on modern portfolio theory The main contribution.
master individual securities and portfolio expected rate of return, variance calculations, and the significance of the correlation coefficient.
familiar with the portfolio efficient frontier of the feasible region and the meaning of; familiar with the portfolio efficient frontier of the feasible region and the general graphical ; master effective meaning and characteristics of the portfolio; control the proportion of investment securities and the correlation coefficient changes on the level of portfolio return and risk levels; familiar with the characteristics of investor preferences; master the indifference curve of the meaning, role and characteristics; familiar with the best security combination of meaning; master the optimal portfolio selection theory.
Shuxi capital asset pricing model assumptions; Shuxi the meaning of risk-free securities; master the optimal combination of risk portfolio and the market implications and the relationship between; master capital market line and security market line definition, graphics and their economic significance; grasp the definition of securities b coefficient and economic significance; familiar with the application of the capital asset pricing model results; familiar with the basic principle of arbitrage pricing theory, to grasp the concept of arbitrage portfolio and calculation, to the use of arbitrage pricing equation expected rate of return of securities, familiar with the application of arbitrage pricing model.
Shuxi portfolio performance assessment principles, familiar with the performance assessment should pay attention; Shuxi Jensen, Treynor index, Sharpe's definition, function and application.
Chapter VIII Application of Financial Engineering
familiar with the definition of financial engineering, content and applications; familiar with the financial engineering of the technical, operational steps.
master sets Lee's basic concepts and principles, familiar with the basic principles of the carry trade and risk; master index futures arbitrage and hedging definition, basic principles; Shuxi the main form of stock index futures arbitrage; master of arbitrage, intertemporal arbitrage , cross-species cross-market arbitrage and arbitrage the basic concepts, principles; master index futures hedging practices, including users of hedging, hedging direction, calculate the number of copies of hedging contracts; master set of stock index futures the difference between profit and hedging.
familiar with the historical evolution of risk measurement methods; master the VaR calculation of the basic concepts and principles; familiar with the VaR calculation methods and the main advantages and disadvantages; familiar with the main application of VaR and in use should be noted problem.
Chapter Securities analyst and practice self-discipline organization standardize the meaning of securities analysts familiar
, functions and scope of business.
self-regulatory organizations, securities analysts familiar with the nature, composition and membership function; familiar with international Investment Analyst Association, the Asian Securities Analysts Federation and other foreign main self-regulatory organization of the state securities analysts. familiar with international Investment Analyst Proficiency Test (CIIAr examination) characteristics, examination content and the promotion of the situation in China .
familiar with securities analysts and lawyers, accountants, the difference in business; familiar with the establishment of self-regulatory organization of the need for securities analysts; master the Analysts practice discipline.
control of securities investment consulting business involved in the current laws and regulations; familiar with the a number of issues, details.
fifth part of the securities investment fund objectives and requirements of this section
including securities investment fund concept and features of the legal form of securities investment funds and the operation of the securities investment fund industry at home and abroad overview of development and its position in the financial system and role; types of securities investment funds, the main types of risk-return characteristics of the Fund and analysis methods; fund raising, trading and registration; fund management companies, fund custodian, the primary responsibility internal management and internal control; fund marketing; fund valuation and accounting costs; fund income distribution and taxation; fund information disclosure; fund regulation knowledge. this section also includes portfolio theory and The use of asset configuration management, stock and bond portfolio management and fund investment performance measurement and other aspects of the school.
through this part of the learning proficiency of the securities investment fund's basic theory, operation and fund practical and Investment Management Investment-related knowledge, familiar with relevant laws and regulations, basic requirements for self-regulate.
Chapter Securities Investment Funds in securities investment funds
grasp the concepts and features; Shuxi securities investment funds and stocks, bonds , the difference between bank deposits; understand the various types of securities investment fund market in the main body.
master contract with the company funds and differences between the concept of funds; understanding of securities investment funds in the origin and development; understanding of securities investment fund industry Development Overview; master closed-end funds and open-end funds and differences between the concepts; understand the fund industry's position in the financial system and role.
Chapter fund type classification
understand the meaning of securities investment funds, to acquire all Class of the Fund's basic characteristics and differences.
understand equity funds in the portfolio, and wield the difference between stock funds and stocks, are familiar with the classification of equity funds, understanding the investment risks of equity funds, equity funds to master methods of analysis.
understand the bond funds in the portfolio, and wield the difference between bonds and bond funds, bond funds are familiar with the classification, understanding the investment risks of bond funds, bond funds control method.
understanding of money market funds in the investment The role of the portfolio, understanding of money market instruments and money market fund investors understand the investment risk money market funds, money market funds to master methods of analysis.
mixed funds in the portfolio to understand the role, understand the mixed fund type, learn Mixed Fund's risk.
understanding of the Capital Preservation Fund characteristics, master preservation fund capital preservation strategies, to understand the capital preservation fund types, understand the security of the Fund's investment risks, control of capital preservation fund analysis.
master the ETF's characteristics, arbitrage principle, to understand the type of ETF, ETF understanding and analysis of risk.
Chapter fund raising, trading and registration of closed-end fund raising
understand procedures, familiar with the contract in effect closed-end funds conditions; master trading conditions listed closed-end funds, open a trading account, trading rules, transaction costs are familiar with closed-end funds, closed-end fund discount master (premium) rate calculation.
understanding of open-end fund-raising program familiar with open-end fund contract terms in effect; familiar with the open-end fund's subscription channel, steps and charging mode, grasp the calculation of the Fund to subscribe for shares.
grasp the open-end fund subscription and redemption of the concept, familiar with the open-end funds purchase and redemption of the time, grasp the open-end fund subscription and redemption of the principle, master purchase shares, the redemption amount is calculated. identify and understand the huge withdrawal of treatment. grasp the open-end fund share conversion, transfer of non-trading , the concept of custody transfer and freezing.
familiar with the ETF share of the subscription method, share conversion method; master the ETF shares trading rules; master purchase and redemption of ETF shares principles; familiar with the ETF share purchase and redemption of the price methods and content.
master open-end fund listed on the venue to raise outside the concept of raising and familiar open-end fund shares listed on the purchase and redemption; grasp the open-end fund shares listed on the concept of custody transfer.
grasp opening -end fund registered in the share of the concept of open-end fund registration institutions to understand their responsibilities, familiar with the fund registration process, understand the purchase of fund shares (subscription), redemption fund settlement process.
Chapter fund managers
Shuxi fund manager's role in the operation of the Fund, familiar with the fund management company's market access provisions, fund management companies to understand the business characteristics.
fund management companies to understand the basic requirements of governance, master of corporate governance structure of fund management The main provisions of the fund management company familiar with the organizational structure and functions of the departments.
investment fund management companies to understand decision-making body, familiar with the main responsibilities of Investment Committee; understand the general investment decision-making process; understand the investment of fund management companies, investment transactions and investment risk control.
of the fund product management, pricing management, channel management.
master fund management company's internal control concept; familiar with the internal control objectives, principles, basic requirements and the main content. < br> Chapter
fund trustees are familiar with the operation of the fund custodian's role in the fund, the fund custodian market access requirements, to grasp the responsibilities of fund custodian; understanding of fund custody business processes.
understanding of the Fund custodian institutions to set and technology systems.
custody of fund assets to understand the basic requirements, are familiar with the types of assets of the Fund accounts, property, custody of the contents of the master fund.
of the fund in the exchange market, the national inter-bank market and the market liquidation of funds outside the basic flow of the market.
review the contents of the master fund accounting.
custodian of the fund supervision of the main contents of fund managers to understand the operation of monitoring the results of fund investment approach.
familiar with the fund custodian of internal control objectives, principles, basic elements and the main content.
Chapter VI Fund Fund Marketing
understand the characteristics and significance of marketing, master fund marketing content; understanding of the Fund's distribution channels and promotions.
way of understanding the Fund customer service.
understanding of relevant laws and regulations for the fund sales institutions compliance control, familiar with the norms of fund sales practices, familiar with the promotion activities of the Fund's specifications, master of fund sales charges specification.
Chapter VII of the Fund's valuation, fees and accounting
grasp the concept of valuation of fund assets, understand the importance of the valuation of fund assets, valuation of fund assets to understand the factors to be considered, master of fund asset valuation principles and methods; calculation error handling control and accountability, to understand the valuation of the case be suspended.
process control operation of the Fund the difference between the two types of costs, are familiar with the type of fund expenses, control various costs The way of provision standards and provision.
grasp the characteristics of fund accounting, fund accounting to understand the main contents.
Chapter VIII of the Fund income distribution and tax revenue
sources familiar with the fund, master fund net income, fund management performance, profit and loss equalization payments, income of the Fund available for distribution and final distribution of funds is not the concepts of net income.
master closed-end funds, open-end funds, money market funds in the relevant provisions of the income distribution.
Shuxi business for funds as the main tax rules, understand the fund manager and custodian for the tax provisions, familiar for corporate institutions, individual investors in the tax rules.
Chapter fund disclosure of information about the fund
The meaning and role of disclosure, understanding the principles of disclosure of the substantive ...
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