**Cheating on the Practitioner Proficiency Test has been reported.
Recently, the China Securities Association issued 2 announcements in a row to inform the violations of the ** industry level test examination, of which 10 people had particularly serious violations, and announced a detailed list. Brokerage China reporters combed and found that since the beginning of this year, the China Securities Association has issued a total of 4 similar announcements, with a total of 47 violators, of which 21 have minor violations, 8 have serious violations, and 18 have particularly serious violations. Those who violate the rules in particular will be banned for 5 years.
According to the rules, particularly serious violations include: organizing cheating;Impostor**;Threatening, insulting, slandering, beating or retaliating against staff members, causing personal injury or property damage to staff members, etc. The examiners of the professional level test include company executives, practitioners, etc.
Eighteen people were particularly serious violations.
On December 19, the China Securities Association issued the "Announcement on the Handling Results of Illegal Personnel in the ** Industry Professional Level Evaluation Test (No. 4 of 2023)".
According to the announcement, in order to rectify the order of the examination, strictly enforce the discipline of the examination room, and maintain a fair and just examination environment, in accordance with the "Implementation Rules for the Evaluation of the Level of Industry Professionals" and other regulations, the handling of the violators of the ** Industry Professional Level Evaluation Test in October 2023 is hereby announced as follows:
Measures were taken to cancel the results on the spot for 2 minor violators. The list is as follows (in alphabetical order): Jin, Ma.
A week ago, on December 13, the China Securities Association issued the "Announcement on the Handling Results of Illegal Personnel in the ** Industry Professional Level Evaluation Test (No. 3 of 2023)".
According to the announcement, in order to rectify the order of the examination, strictly enforce the discipline of the examination room, and maintain a fair and just examination environment, in accordance with the "Implementation Rules for the Evaluation of the Level of Industry Professionals" and other regulations, the handling of the violators of the ** Industry Professional Level Evaluation Test in September 2023 is hereby announced as follows:
Measures were taken to cancel the results on the spot for 2 minor violators. The list is as follows (in alphabetical order): Lai, Ye.
Measures were taken against the 2 serious violators to cancel all the test results of the current time and prohibit them from participating in the test for 24 months from the date of confirmation of the violation. The list is as follows (in alphabetical order): Deng, Liu.
Measures were taken against 10 particularly serious violators to cancel all test results for the time and ban them from participating in the test for 60 months from the date on which the violation was confirmed. The list is as follows (in alphabetical order): Chen, Liang, etc.
In addition, the China Securities Association also issued the "Announcement on the Handling Results of the Violation of the ** Industry Professional Level Evaluation Test (2023 No. 2)" and the "Announcement on the Handling Results of the Violators of the ** Industry Professional Level Evaluation Test (2023 No. 1)" this year. The two announcements have a total of 17 minor violations, 6 serious violations, and 8 particularly serious violations.
This year, a total of 4 announcements have accumulated 21 minor violations, 8 serious violations, and 18 particularly serious violations. The cumulative number of violators reached 47.
or there is a situation such as impersonation**.
The reporter noticed that 18 of the above-mentioned personnel were particularly serious violations and were banned from taking the exam for 60 months (5 years). What are the circumstances that can lead to particularly serious violations?The "Implementation Rules for the Evaluation Test of Industry Professionals" issued in July 2022 shows:
If the candidate has one of the following particularly serious violations, the China Securities Association will take measures to cancel all the test results of the current time and prohibit them from participating in the test for 60 months from the date of confirmation of the violationAt the same time, the China Securities Association will take disciplinary sanctions against those who have completed practice registration or are applying for practice registration among the above-mentioned candidates who are found to be unsuitable for engaging in relevant business for 36 months: organizing cheating, or facilitating others to carry out organizational cheating;Someone else takes the test in lieu of another person, or takes the test in the name of another person;Transcription or use of a recording device to obtain the content of the test;Use equipment to receive and send relevant information during the test;Threatening, insulting, defaming, assaulting or retaliating against a staff member, causing bodily injury or property damage to the staff member;Other violations that should be dealt with accordingly.
Serious violations include: using a mobile phone or other electronic device to view relevant content during the test;Falsifying relevant documents, files, certificates and other materials to obtain test results;Intentional damage or destruction of test equipment;Candidates are assisted by staff to cheat during the test;Other violations that should be dealt with accordingly.
The proposed chairman of the securities firm will participate in the examination.
According to the registration conditions of the exam, the following persons can refer to the level test.
*The company's senior management level evaluation test is open to **company, **company's alternative subsidiaries, **investment consulting company, **financial consulting company, other directors and supervisors, and senior management personnel engaged in business management.
*The qualification test for senior management of rating business is for the proposed senior management of ** rating company. According to the Administrative Measures for the Market Credit Rating Business issued in February 2021, the conditions for senior managers of credit rating agencies have been adjusted from being adjusted to being encouraged to pass the qualification test for senior managers of the credit rating business.
The general business level evaluation test is open to the proposed chairman of the board of directors of ** company and ** company's alternative subsidiaries, other directors and supervisors, senior managers and practitioners engaged in business management and other personnel who meet the provisions of Article 7 of the "Detailed Rules for the Implementation of the ** Industry Professional Level Evaluation Test".
Among them, Article 7 of the "Detailed Rules for the Implementation of the Evaluation Test of Industry Professional Proficiency" stipulates that those who register for the general professional level evaluation test shall meet the following conditions: (1) Be at least 18 years old on the deadline for registration. (2) Obtain a college degree or above recognized by the education administrative department;or have a high school or equivalent high level of Chinese, and have more than 36 months of work experience;or ** companies, ** investment consulting companies and other ** industry institutions have issued employment notices for fresh graduates of university (special) courses. (3) Have full capacity for civil conduct.
Editor-in-charge: Wang Yunpeng.
Proofreading: Zhu Tianting.
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