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Issues related to the syllabus of the China Securities Regulatory Commission professional examination in 2014

Release Time:2021-07-23 Topic:The mechanism and principle of stock trading Reading:176 Navigation:Stock Liao information > Education > Issues related to the syllabus of the China Securities Regulatory Commission professional examination in 2014 phone-reading

The China Securities Regulatory Commission refers to the Civil Service Law for the 2014 examination and recruitment

Announcement on issues related to professional examinations and professional examination syllabus for staff in management institutions

According to the recruitment work arrangement, all positions of the staff of the China Securities Regulatory Commission in the 2014 examination of the China Securities Regulatory Commission shall be listed as special professional positions of the CSRC in accordance with the Civil Service Law, and the 2+X examination will be implemented. All candidates applying for positions recruited by the China Securities Regulatory Commission, in addition to the written examination of public subjects, also need to take the financial, legal, accounting or computer professional examinations according to the requirements of the reported position. The professional examination time is 14:00-16:00 pm on November 23, 2013. The examination venues are set up in the municipalities directly under the Central Government, the capital cities of the provinces and the capitals of autonomous regions. Professional exams do not specify exam counseling books, and neither organize nor entrust any institution to hold exam counseling training courses. The scope of the examination shall be based on the "Examination Syllabus for Professional Subjects for the Employment of the China Securities Regulatory Commission in Reference to Civil Service Law Management Institutions" (see attachment).

Attachment: The syllabus for the professional subject examination of the staff of the China Securities Regulatory Commission in reference to the civil service law management institution for the 2014 examination

China Securities Regulatory Commission

October 14, 2013

The syllabus of professional subject examinations (computers) for the staff of the China Securities Regulatory Commission in reference to the civil service law management institutions for the 2014 examinations

1. Test purpose

Check whether the examinee has the necessary computer expertise and the application ability of relevant knowledge necessary for securities and futures supervision work.

2. Exam content and test paper structure

The test format is a written test, with a test time of 120 minutes and a full score of 100.

Candidates applying for computer-related positions take the professional subject examinations in this category. The examination questions of computer professional subjects consist of the following two parts:

(1) Basic knowledge of securities and futures

1. Single choice 40 questions

2. 15 multiple choice questions

3. 5 questions to choose from indefinite items

(2) Professional knowledge-computer

1. Single choice 40 questions

2. 15 multiple choice questions

3. 5 questions to choose from indefinite items

Third, answer requirements

The test uses objective questions, and candidates are required to choose an answer from the options given to each question. Candidates must use a 2B pencil to answer on the answer sheet. Answers in the test book or other places are invalid.

Fourth, sample questions

(1) Multiple choice questions (Each question is given four alternatives, only one of which is correct. The examinee should select the correct option and fill in the corresponding position on the answer sheet as required. Multiple or unselected are not allowed Points)

1. In the following software, () is not an operating system.

A: Windows

B: Unix

C: Linux

D: Microsoft Office

Answer: (D)

(2) Multiple choice questions (Each question is given four alternatives, of which two or more options are correct. The examinee should select the correct option and fill in the corresponding position on the answer sheet as required. No points will be scored for multiple, less or no selections)

1. In the following software, () is the operating system.

A: Windows

B: Unix

C: Linux

D: Microsoft Office

Answer: (ABC)

(3) Indefinite multiple-choice questions (Each question is given four alternatives, of which one or more options are correct. The examinee should select the correct option and fill in the corresponding position on the answer sheet as required, multiple choices , Less or no selection will not be scored)

1. In the following software, () is the operating system.

A: Windows

B: Unix

C: Linux

D: Microsoft Office

Answer: (ABC)

Five. Check knowledge points

Candidates should master the basic knowledge of securities and futures (refer to the financial examination syllabus) and the following computer expertise:

1. Computer architecture

2. Operating system principle

3. Basic knowledge of network

4. Data communication protocol

5. Data structure

6. Database system

7. Programming language

8. Basic knowledge of multimedia

China Securities Regulatory Commission refers to the Civil Service Law for the 2014 examinations

Professional Subject Examination Syllabus for Staff of Management Institutions

(Accounting)

1. Test purpose

Check whether the examinee has the necessary accounting expertise and the application ability of relevant knowledge necessary for securities and futures supervision work.

2. Test content and test paper structure

The test format is a written test, with a test time of 120 minutes and a full score of 100.

Candidates applying for accounting positions take the professional subject examinations in this category. The examination questions of accounting professional subjects are composed of the following two parts:

(1) Basic knowledge of securities and futures

1. Single choice 40 questions

2. 15 multiple choice questions

3. 5 questions to choose from indefinite items

(2) Professional knowledge-accounting

1. Single choice 40 questions

2. 15 multiple choice questions

3. 5 questions to choose from indefinite items

Three, answer requirements

The test uses objective questions, and candidates are required to choose an answer from the options given to each question. Candidates must use a 2B pencil to answer on the answer sheet. Answers in the test book or other places are invalid. Candidates taking the exams for accounting professional subjects are not allowed to bring their own calculators of any kind.

Four, sample questions

(1) Multiple choice questions (Each question is given four alternatives, only one of which is correct. The examinee should select the correct option and fill in the corresponding position on the answer sheet as required. Multiple or unselected are not allowed Points)

1. The total assets of an enterprise is 3 million yuan, the total liabilities are 1 million yuan, and the total owner's equity is ()?

A:1 million yuan

B: 2 million yuan

C: 3 million yuan

D: 4 million yuan

Answer: (B)

(2) Multiple choice questions (Each question is given four alternatives, of which two or more options are correct. The examinee should select the correct option and fill in the corresponding position on the answer sheet as required. No points will be scored for multiple, less or no selections)

1. The total assets of a certain enterprise are 3 million yuan, and the total liabilities are 1 million yuan. Which of the following is wrong ()?

A: The total owner's equity of the company is 1 million yuan

B: The total owner's equity of the company is 2 million yuan

C: The total owner's equity of the company is 3 million yuan

D: The total owner's equity of the company is 4 million yuan

Answer: (ACD)

(3) Indefinite multiple-choice questions (Each question is given four alternatives, of which one or more options are correct. The examinee should select the correct option and fill in the corresponding position on the answer sheet as required, multiple choices , Less or no selection will not be scored)

1. The total assets of a certain enterprise are 3 million yuan, and the total liabilities are 1 million yuan. Which of the following is wrong ()?

A: The total owner's equity of the company is 1 million yuan

B: The total owner's equity of the company is 2 million yuan

C: The total owner's equity of the company is 3 million yuan

D: The total owner's equity of the company is 4 million yuan

Answer: (ACD)

Five, examine knowledge points

Candidates should master the basic knowledge of securities and futures (refer to the financial examination syllabus) and the following accounting expertise:

(1) Accounting standards and practical application

1. Basic concepts of financial accounting

(1) Basic accounting assumptions and accounting information quality requirements

(2) Accounting elements and their confirmation and measurement principles

2. Financial assets

(1) Classification and initial and subsequent measurement of financial assets

(2) Transfer of financial assets

3. Inventory

(1) The initial measurement of inventory and the carry forward of the cost of issuing inventory

(2) End-of-period measurement of inventory

4. Long-term equity investment

(1) Initial measurement of long-term equity investment

(2) Follow-up measurement of long-term equity investment

(3) Conversion and disposal of long-term equity investment accounting methods

5. Fixed assets

(1) Initial and subsequent measurement of fixed assets

(2) Holding fixed assets for sale and disposal of fixed assets

6. Intangible assets

(1) Confirmation and initial and subsequent measurement of intangible assets

(2) Disposal of intangible assets

7. Investment real estate

(1) Scope, initial and subsequent measurement of investment real estate

(2) Conversion and disposal of investment real estate

8. Asset impairment

Recognition and measurement of asset impairment losses

9. Liabilities

(1) Recognition and measurement of current liabilities

(2) Recognition and measurement of non-current liabilities

10. Owner's equity

Classification and accounting treatment of owner's equity

11. Revenue, expenses and profits

(1) The principle of revenue recognition for sales of goods and provision of labor services and its specific application

(2) Accounting treatment of expense confirmation and profit

12. Financial report

(1) Financial report composition and presentation requirements

(2) Determination of the scope of consolidated statements and preparation of consolidated statements

(3) Events after the balance sheet date

13. Accounting treatment of specific transactions

(1) Confirmation, measurement and disclosure of contingencies

(2) Recognition of non-monetary asset exchange and its confirmation and measurement

(3) The definition of debt restructuring and the handling of different restructuring methods

(4) Classification and accounting treatment of government subsidies

(5) Confirmation and measurement of borrowing costs

(6) Confirmation and measurement of share-based payment

(7) Accounting treatment of income tax

(8) Foreign currency conversion

(9) Lease classification and accounting treatment

(10) The distinction and treatment of changes in accounting policies and changes in accounting estimates

(11) Types of business combination and accounting treatment

(12) Dealing with the purchase and sale of minority equity in subsidiaries

(2) Basic knowledge of auditing

1. Basic knowledge of auditing

(1) Basic guidelines

(2) Legal responsibilities of certified public accountants

(3) CPA Practice Code and Professional Ethics Code

2. Audit procedures, techniques and methods

(1) Auditing Standards No. 1101-The overall objectives of certified public accountants and the basic requirements of audit work

(2) Auditing Standards No. 1121-Quality Control of Financial Statement Auditing

(3) Auditing Standards No. 1131-Audit Working Papers

(4) Auditing Standards No. 1141-Responsibilities related to fraud in the audit of financial statements

(5) Auditing Standards No. 1201-Plan audit work

(6) Auditing Standard No. 1211-Identify and evaluate the risk of major misstatement by understanding the audited entity and its environment

(7) Auditing Standards No. 1231-Response Measures to Evaluate the Risk of Material Misstatement

(8) Auditing Standard No. 1251-Evaluation of misstatements identified during the audit process

(9) Auditing Standard No. 1301-Audit Evidence

(10) Auditing Standards No. 1312-Correspondence

(11) Auditing Standards No. 1323-Related Parties

(12) Auditing Standard No. 1501-Forming audit opinions and issuing audit reports on financial statements

(13) Auditing Standards No. 5101-Quality control implemented by accounting firms on the implementation of audit and review of financial statements, other assurance and related services

(3) Financial Information Disclosure Specification

1. The definition, content and disclosure requirements of non-operating profit and loss

2. Calculation of return on net assets

3. Calculation and presentation of earnings per share

In 2014, the China Securities Regulatory Commission refers to the civil service law management institution staff professional subject examination syllabus (legal)

1. Test purpose

Check whether the candidates have the necessary legal expertise and the ability to apply relevant knowledge for securities and futures supervision.

2. Exam content and test paper structure

The test format is a written test, with a test time of 120 minutes and a full score of 100.

Candidates applying for legal positions take the professional subject examinations in this category. Legal professional subject examinationThe test question consists of the following two parts:

(1) Basic knowledge of securities and futures

1. Single choice 40 questions

2. 15 multiple choice questions

3. 5 questions to choose from indefinite items

(2) Professional knowledge-law

1. Single choice 40 questions

2. 15 multiple choice questions

3. 5 questions to choose from indefinite items

Third, answer requirements

The test uses objective questions, and candidates are required to choose an answer from the options given to each question. Candidates must use a 2B pencil to answer on the answer sheet. Answers in the test book or other places are invalid.

Fourth, sample questions

(1) Single choice (Each question is given four alternatives, only one of which is correct. The examinee should select the correct option and fill in the corresponding position on the answer sheet as required. Multiple choices or no choices will not be scored )

1. According to my country's Constitution, which of the following is not a condition for citizens to obtain material assistance ()?

A: Citizens in old age

B: When citizens are sick

C: When citizens suffer from natural disasters

D: When citizens lose the ability to work

Answer: (C)

(2) Multiple choices (Each question is given four alternatives, of which two or more options are correct. The examinee should select the correct option and fill in the corresponding position on the answer sheet as required. No points will be awarded for selecting, selecting less or not)

1. According to my country's Constitution, which of the following conditions is a condition for citizens to obtain the right to material assistance ()?

A: Citizens in old age

B: When citizens are sick

C: When citizens suffer from natural disasters

D: When citizens lose the ability to work

Answer: (ABD)

(3) Indefinite item selection (Each question is given four alternatives, of which one or more options are correct. The examinee should select the correct option and fill in the corresponding position on the answer sheet as required, multiple choices, No score will be awarded if you choose less or not)

1. According to my country's Constitution, which of the following conditions is a condition for citizens to obtain the right to material assistance ()?

A: Citizens in old age

B: When citizens are sick

C: When citizens suffer from natural disasters

D: When citizens lose the ability to work

Answer: (ABD)

Five. Check knowledge points

Candidates should master the basic knowledge of securities and futures (refer to the financial examination syllabus) and the following legal expertise:

(1) Securities and Futures Law

1. Securities Law

(1) The scope and basic principles of the securities law

(2) Conditions and methods of securities issuance

(3) Securities listing and suspension and termination of trading

(4) Information disclosure and prohibition of securities trading

(5) Methods and procedures for the acquisition of listed companies

(6) Stock exchanges, securities registration and settlement institutions, securities service organizations, securities industry associations

(7) The organization form, establishment conditions, business scope and basic business rules of the securities company

(8) Corporate governance structure, internal control and supervision of securities companies

(9) The nature, responsibilities, and powers of securities regulatory agencies

(10) Legal liability for securities violations and market prohibition system

2. Fund Law

(1) Types, characteristics, organizational forms and nature of fund assets of securities investment funds

(2) Fund managers, fund custodians

(3) Raising of public funds and subscription, redemption and trading of fund shares

(4) Operation and information disclosure of public funds

(5) Modification and termination of public fund contracts and liquidation of fund assets

(6) Rights and exercise of share holders of public funds

(7) Private equity funds

3. Futures Regulations

(1) The concept, characteristics and types of futures

(2) Futures exchanges, futures companies, futures industry associations

(3) Basic rules of futures trading

(2) Corporate Corporate Law

1. Corporate Law

(1) The concept, characteristics and types of the company

(2) Company establishment, registration, articles of association, capital and shareholder capital contributions

(3) Shareholders and their rights, obligations and shareholder representative litigation system

(4) Special regulations on the company’s organizational structure and listed company’s organizational structure

(5) Issuance of shares and transfer of equity and shares

(6) Qualifications and obligations of company directors, supervisors and senior managers

(7) The company's financial and accounting system

(8) Corporate bonds

(9) Changes, mergers and divisions of the company

(10) Dissolution and liquidation of the company

2. Partnership Law

(1) The concept, characteristics and types of partnerships

(2) Dissolution and liquidation of partnerships

3. Corporate Bankruptcy Law

(1) The concept of bankruptcy, the cause of bankruptcy and the jurisdiction of bankruptcy cases

(2) Bankruptcy application and acceptance, debtor's property, bankruptcy expenses, common debts

(3) Bankruptcy reorganization, reconciliation and bankruptcy liquidation

(3) Civil and Economic Law

1. Civil Law

(1) Civil rights and obligations, capacity for civil rights and capacity, declaration of disappearance and declaration of death

(2) Civil juristic acts, the concept and characteristics of agency, statute of limitations and time limit

(3) The reason for the occurrence of the debt, the classification and performance of the debt, the preservation and guarantee of the debt, the transfer and elimination of the debt

2. Contract Law

(1) The concept, characteristics and classification of contracts

(2) The conclusion, validity and performance of the contract

(3) Contract modification, assignment, termination and liability for breach of contract

3. Property Law

(1) The concept, effect, type, change of real right and protection of real right

(2) The concept, characteristics and content of ownership and usufructuary rights

(3) The concept, characteristics, types and content of real rights for security

(4) The concept, nature, type, acquisition and elimination of possession

4. Tort Liability Law

(1) Tort and liability principle

(2) The concept, composition, method and application of tort liability

(3) Exemption and mitigation of tort liability

(4) Special provisions of the responsible subject, various infringements and responsibilities

5. Financial Law

(1) Commercial banking business and basic rules, protection of depositors

(2) The concept of insurance, the classification, conclusion and performance of insurance contracts

(3) The concept, types and characteristics of bills, the acquisition, elimination and execution of bill rightsMake

(4) Trust establishment, trust property, trust parties

(5) The concept and basic principles of the anti-money laundering system and the anti-money laundering obligations of financial institutions

6. Other economic laws

(1) Market competition principles, restrictive competition behaviors and unfair competition behaviors

(2) Monopolistic behavior and its determination rules and investigation procedures

(3) Workers’ rights, labor contracts and collective contracts, labor disputes

(4) Administrative Criminal Law

1. Administrative Law

(1) The establishment of administrative licenses, implementing agencies, implementation procedures, fees, and revocation and cancellation of administrative licenses

(2) Types and establishment of administrative penalties, implementing agencies, jurisdiction, and administrative penalties' decisions and execution procedures

(3) Scope of administrative reconsideration, application, acceptance and decision of administrative reconsideration

(4) The scope of state compensation, claimant, obligatory agency, and compensation procedures, methods, and calculation standards

(5) Responsibilities, powers and supervision procedures of administrative supervision agencies

2. Criminal Law

(1) The concept and classification of crime, constitution of crime, and reason for exclusion of crime

(2) Preparation, attempt and suspension of crime

(3) Joint crimes, unit crimes and the number of crimes

(4) Types, discretion, execution and elimination of penalties

(5) Crimes of disrupting the management order of companies and enterprises

(6) Crime of disrupting financial management order, crime of financial fraud

(7) Corruption and bribery crimes, dereliction of duty crimes

(8) Crimes of infringing on citizens' personal rights, democratic rights, and crimes of infringing property

(5) Litigation law and other legal systems

1. The basic system, supervision and jurisdiction of civil litigation, parties, civil evidence, property preservation and advance enforcement, prosecution and trial

2. The scope, jurisdiction, trial and execution of administrative litigation

3. Jurisdiction, challenge, defense, compulsory measures, case filing, investigation, trial and incidental civil litigation in criminal litigation

4. The concept and characteristics of arbitration, arbitration institutions and arbitration agreements, arbitration procedures

5. The basic system of the country, the basic rights and duties of citizens, and state institutions

6. Legislative system, legislative authority and legislative procedures

7. Letters and visits channels, acceptance, handling and supervision of letter and visit matters

8. Scope, methods and procedures of government information disclosure

In the 2014 annual examination, the China Securities Regulatory Commission refers to the syllabus of the professional subject examination of the civil service law management institution staff (financial and financial)

1. Test purpose

Check whether the examinee has the necessary financial expertise and the application ability of relevant knowledge necessary for securities and futures supervision work.

2. Exam content and test paper structure

The test format is a written test, with a test time of 120 minutes and a full score of 100.

Candidates applying for financial positions take the professional subject examinations in this category. The examination questions for financial professional subjects are composed of the following two parts:

(1) Basic knowledge of securities and futures

1. Single choice 40 questions

2. 15 multiple choice questions

3. 5 questions to choose from indefinite items

(2) Professional knowledge—finance

1. Single choice 40 questions

2. 15 multiple choice questions

3. 5 questions to choose from indefinite items

3. Answer requirements

The test uses objective questions, and candidates are required to choose an answer from the options given to each question. Candidates must use a 2B pencil to answer on the answer sheet. Answers in the test book or other places are invalid.

Fourth, sample questions

(1) Multiple choice questions (Each question is given four alternatives, only one of which is correct. The examinee should select the correct option and fill in the corresponding position on the answer sheet as required. Multiple or unselected are not allowed Points)

1. Which of the following options is the abbreviation of GDP ()?

A: GDP

B: NNP

C: GNP

D: NI

Answer: (A)

(2) Multiple choice questions (Each question is given four alternatives, of which two or more options are correct. The examinee should select the correct option and fill in the corresponding position on the answer sheet as required. No points will be scored for multiple, less or no selections)

1. Are the following options wrong ()?

A: GDP referred to as GDP

B: The abbreviation of GDP is NNP

C: The abbreviation of GDP is GNP

D: The abbreviation of GDP is NI

Answer: (BCD)

(3) Indefinite multiple-choice questions (Each question is given four alternatives, of which one or more options are correct. The examinee should select the correct option and fill in the corresponding position on the answer sheet as required, multiple choices , Less or no selection will not be scored)

1. Are the following options wrong ()?

A: GDP referred to as GDP

B: The abbreviation of GDP is NNP

C: The abbreviation of GDP is GNP

D: The abbreviation of GDP is NI

Answer: (BCD)

Five. Check knowledge points

(1) Basic principles of economics

1. Supply and demand

Master demand theory, supply theory, equilibrium price theory, and elasticity theory.

2. Enterprise Theory

Master production theory, production function, cost and profit.

3. Market failure

Master public goods, externalities, and information asymmetry.

4. Macroeconomics and macroeconomic policies

Master national income accounting and methods, national income determination theory, aggregate demand analysis, aggregate demand-aggregate supply model, inflation and unemployment, macroeconomic policy objectives and tools.

Grasp the basic variables for evaluating the macroeconomic situation, the relationship between the capital market and macroeconomic operations; the impact of inflation and deflation on the capital market; the impact of fiscal policy, monetary policy, foreign exchange management policy, and income policy on the capital market.

5. Economic growth theory

Master economic growth theory and business cycle.

6. The current government’s economic development ideas

(2) Basic knowledge of finance

1. Currency supply and demand

Grasp the knowledge of money demand and money supply.

Grasp the knowledge of base currency, currency multiplier, original deposit, and distribution fund; the process of deposit currency creation.

2. Financial institutions and financial business

Master the types of financial institutions in my country and the main responsibilities of financial regulatory agencies.

Master the masters of commercial banks, insurance companies, trust and investment companiesWant business.

3. Monetary policy and financial supervision

Grasp the objectives, tools, transmission mechanism and intermediary indicators of monetary policy.

Grasp the causes, social effects and relevant countermeasures of inflation.

Master the principles, objectives and means of financial supervision.

Master the main content of the Basel Agreement.

4. Finance and taxation

Master the main regulations of value-added tax, consumption tax, business tax, corporate income tax, personal income tax, land value-added tax, and stamp tax.

5. Foreign exchange management and financial globalization

Grasp the basic concepts and main theories of foreign exchange and exchange rate; concepts of exchange rate system, fixed exchange rate and floating exchange rate; concepts and types of exchange rate risk.

Grasp the main factors that cause exchange rate changes and the impact of exchange rate changes on the economy.

Grasp the characteristics of the current RMB exchange rate system and the basic conditions of my country’s foreign exchange market; grasp the concepts and types of foreign exchange management and my country’s foreign exchange management system.

Grasp the definition, reasons and types of international capital flow; the role of capital flow and the means of government intervention in capital flow; the responsibilities of major international financial institutions.

(3) International financial crisis

1. The causes of the international financial crisis; the impact of the international financial crisis on the financial market; the impact of the international financial crisis on the real economy.

2. Features of structured financial derivatives; innovation trends, advantages and disadvantages of structured financial derivatives.

3. New changes in financial supervision after the international financial crisis.

4. The United States' withdrawal from QE and financial turmoil in emerging market countries.

(4) Basic knowledge of securities

1. Overview of securities and securities markets

Master the main content of the multi-level capital market; the concept, connotation, and extension of the capital market; how to correctly understand the multi-level capital market system; the regulatory thinking and prospects of the capital market; the monitoring, early warning and prevention of systemic risks in the capital market; how to use capital The market is put into play in the entire macro economy; the difference between the main board market and the ChiNext market; the bond market.

Grasp the definition, characteristics and functions of securities and securities markets.

Grasp the composition of the securities market participants, the types of institutional investors; the relevant regulations for various types of institutional investors investing in the securities market.

Grasp the concepts and differences between private equity investment funds and venture capital funds.

Grasp the concept and relationship between the securities issuance market and the trading market.

Master the classification, definition, characteristics and functions of the securities exchange market.

Master the functions and main business types of securities companies; the principles, objectives and main contents of internal control of securities companies.

Master the functions, business scope and management system of securities registration and settlement companies, securities investment consulting companies, law firms, accounting firms, asset appraisal agencies, credit rating agencies, and other securities service organizations; the legal responsibilities and management systems of securities service organizations and their practitioners Code of Conduct.

2. Securities products—stocks, bonds, securities investment funds

Grasp the concepts, nature, characteristics and types of stocks, bonds and securities investment funds.

Grasp the characteristics and differences of bonds and other fixed income products.

Grasp the basic information of the inter-bank bond market and the exchange bond market's trading varieties, participants, and trading methods.

Grasp the definition, characteristics and functions of securities investment funds.

Grasp the definitions and differences between contractual funds and corporate funds, closed-end funds and open-end funds; concepts and characteristics of exchange-traded open-end funds.

Grasp the concepts and responsibilities of fund managers and custodians, as well as the relationship with fund parties.

Grasp the meaning of the fund's net asset value; the concept and basic methods of fund asset valuation; the fund's investment scope and investment restrictions.

3. Securities trading

Grasp the meaning, types and methods of securities trading.

Grasp the concepts and functions of stock exchanges and securities registration and settlement companies; the main content of securities clearing and settlement.

Grasp the concept and function of stock price index, the main stock price index in our country.

Master major international securities markets and their stock price indices.

Master the basic content of securities brokerage business, proprietary business, client asset management business, and margin trading and securities lending business.

Master the main content of repurchase transactions.

4. Securities market supervision system

Grasp the meaning, principles, objectives and means of securities market supervision; the content of securities market supervision and the main types and responsibilities of securities market supervision institutions; the main content of securities market self-regulatory supervision.

5. Opening of the securities market to the outside world

Master the issuance and listing conditions of overseas listed foreign shares (H shares).

Grasp the general situation of the qualified foreign institutional investor and qualified domestic institutional investor system.

(5) Basic knowledge of futures

1. Overview of the futures market

Grasp the relationship between futures trading and spot trading and forward trading; the basic features and functions of futures trading.

Master the nature and functions of futures exchanges.

Master the basic system of futures settlement.

Grasp the functions, nature and role of futures intermediary agencies.

2. Futures contracts and futures varieties

Grasp the concept and main design principles of futures contracts.

Master the classification of futures products; major domestic and international futures products.

3. Futures trading system and futures trading process

Master the futures trading system and trading process.

4. Hedging

Grasp the concepts, principles and operating principles of hedging; the characteristics and functions of hedgers.

Master the types, applicable objects and scope of hedging.

5. Futures speculation and arbitrage trading

Grasp the definition of futures speculation; the difference between futures speculation and hedging and stock speculation; the role, principles and methods of futures speculation.

Grasp the concept of arbitrage and its application.

6. Financial futures

The types and applications of stock index futures hedging; the theoretical prices of stock index futures contracts; the types and applications of stock index futures arbitrage.

Knowledge about Treasury Bond Futures.

7. Options and Option Trading

Grasp the meaning and characteristics of options; the classification of options and the concepts of various options; the main content of futures options contracts; premiums and execution prices; the relationship between futures options and futures.

8. Futures market supervision

The content of the Regulations on the Administration of Futures Trading.

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