SAC Releases First-ever Professional Framework for Investment Advisers

Recently, the Securities Association of China (SAC) has issued the Series of Competency Models for Key Positions in Securities Companies (for Investment Advisers) (the "Model").

Focusing on the characteristics of the investment adviser role in the context of wealth management transformation, the Model systematically outlines job positioning, competency requirements, and career development pathways. It establishes a competency framework covering three levels—junior, intermediate, and senior—and encompassing four dimensions, namely professional competence, general competence, professional ethics, and compliance requirements, with a total of 17 competency elements. The Model also provides a tiered training system covering the full career cycle of investment advisers, along with 33 supporting courses and syllabi, serving as a reference for securities companies to improve the development of their investment adviser workforce. The Model is intended as a guiding and general template, offering foundational methodologies and a framework for reference. Securities companies may adapt and further develop the Model in accordance with their strategic positioning, client structure, and resource endowments, and dynamically adjust it in line with different stages of business development.



(Source: https://www.sac.net.cn/tzg/202603/t20260319_81449.html)

Note: The link to the Chinese official website of the document is for your reference.