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style="font-size: 14px; color: rgb(0, 0, 0); font-family: 宋体; line-height: 22px;"> <div class="TRS_Editor"> <div class="Custom_UnionStyle"> <p align="center" style="text-align: center; vertical-align: baseline;">中证协发[2020]23?/p> <p align="center" style="text-align: center; vertical-align: baseline;"> </p> <p style="text-align: justify; vertical-align: baseline;">各证券公司、证券投资咨询机构、证券评U机构:</p> <p style="text-align: justify; vertical-align: baseline;">  彻落实新修订《证券法》有兌定,Ҏ中国证监会《关于取消或调整证券公司部分行政审批目{事的公告》(证监会公告[2020]18PQ现对证券业从业h员实施事后登记管理有关事w知如下Q?/p> <p style="text-align: justify; vertical-align: baseline;">  <b>一、登Ch员?/b>证券公司中从事证怸务的人员应当W合《证券法》等法律法规、中国证监会规定、中国证怸协会Q下U协会)自律规则的要求,品行良好Q具备从事证怸务所需的专业能力。包括但不限于,满基本要求Q品行端正,h良好的职业道P最q三q未受过刑事处罚Q未被中国证监会认定券市场禁入者,或者已q禁入期Q通过相应的证怸从业人员资格考试{。在满基本要求基础上,从事证券投资咨询业务的h员还应当W合《证券、期货投资咨询管理暂行办法》第十三条相兌定。保荐代表hq应当符合《证券发行上市保荐业务管理办法》第十一条相兌定。证券经Uhq应当符合《证券经Uh理暂行规定》第七条相关规定?/p> <p style="text-align: justify; vertical-align: baseline;">  证券公司中从事证怸务的人员应当向协会进行登记。证券投资咨询机构、证券评U机构中从事证券相关业务的h员,参照证券公司中从事证怸务h员的有关规定q行登记理。从业h员不ȝ请取得从业资格和执业证书?/p> <p style="text-align: justify; vertical-align: baseline;">  <b>二、登记类别?/b>从业人员登记cd设ؓ一般证怸务、证券经Uh、证券投资咨询(投资NQ、证券投资咨询(分析师)、证券投资咨询(其他Q、保荐代表h{六cR应当根据从业h员实际从事的业务cd和相应要求进行登讎ͼ同一人员只能登记Z个类别?/p> <p style="text-align: justify; vertical-align: baseline;">  <b>三、登记程序?/b>从业人员应当通过所在机构进行登讎ͼ机构应当自从业h员入职(含试用期Q之日v7个工作日内,通过协会从业人员理q_Q将l本机构审核q的从业人员登记信息提交臛_会进行登记。登C息完备的Q协会在登记后生成唯一登记~号。登C息不完备或不W合规定要求的,协会通知机构及时补正?/p> <p style="text-align: justify; vertical-align: baseline;">  从业人员所从事的业务类别或其他重要登记信息发生变化的,所在机构应当自发生变化之日?个工作日内办理变更登记。从业h员离职的Q所在机构应当自力_关系Q或委托代理关系Q解除之日v7个工作日内办理注销登记?/p> <p style="text-align: justify; vertical-align: baseline;">  <b>四、机构责仅R?/b>机构应当保所聘从业h员符合《证券法》等法律法规、中国证监会规定、协会自律规则的要求。机构应当指定专人(登记理员)负责本机构从业h员的登记信息审核和日常登记管理工作,保登记信息真实、准、完整?/p> <p style="text-align: justify; vertical-align: baseline;">  <b>五、登C息查询?/b>协会通过协会|站从业人员信息公示栏目Q公布各机构从业人员的相关登C息及登记~号Q方便投资者查询?/p> <p style="text-align: justify; vertical-align: baseline;">  <b>六、违规处理?/b>机构聘用不符合规定要求的人员从事证券业务的,机构或从业h员在登记中存在弄虚作假等q规行ؓ的,协会视情节轻重采取自律理措施或纪律处分。从业h员受到协?ldquo;暂停执业”U律处分的,协会予以中止登记。从业h员受到刑事处|、被证券市场入或受到协?ldquo;l止执业”U律处分的,协会予以注销登记?/p> <p style="text-align: justify; vertical-align: baseline;">  <b>七、衔接安排?/b>已经取得执业证书的从业h员,视ؓ已完成登讎ͼ执业证书~号即ؓ登记~号Q无需重新登记。已提交执业注册甌Q但未取得执业证书的从业h员,相关甌信息自动{入登记流E,机构无需重新填报登记信息?/p> <p style="text-align: justify; vertical-align: baseline;">  Ҏ通知?/p> <p style="text-align: right; vertical-align: baseline;"> </p> <p style="text-align: right; vertical-align: baseline;">中国证券业协?/p> <p style="text-align: right; vertical-align: baseline;">2020q???/p> </div> </div> </div> <table border="0" cellpadding="0" cellspacing="0" style="color: rgb(0, 0, 0); font-family: 宋体; font-size: 14px;" width="84%"> <tbody> <tr> <td align="center"> </td> </tr> </tbody> </table> <table border="0" cellpadding="0" cellspacing="0" style="color: rgb(0, 0, 0); font-family: 宋体; font-size: 14px;" width="882"> <tbody> </tbody> </table> </div> </div> <div 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