T/HFDA 1003-2022 Active

Scope: 1. This standard aims to regulate and provide reference and basis for evaluating the professional competence of financial advisors; 2. This standard stipulates the working principles, professional ethics, work procedures, and evaluation methods that should be followed when evaluating the professional competence of financial advisors; 3. This standard applies to all types of financial advisors, regardless of their professional or industry status. Main Technical Content: According to the provisions of this standard and the actual situation of the evaluated personnel in the process and results of declaring their professional competence as financial advisors, scores are given based on the scores of each indicator. The specific points are as follows: 1. The methods and forms used in the process of declaring the professional competence of financial advisors; 2. The suitability and effectiveness of the methods used in relation to the requirements of the standard scoring items; 3. The extent of the methods used and the evaluation and assessment carried out to meet the requirements of the standard scoring items; 4. The regulatory requirements of financial advisor service processes, work principles, professional ethics, basic competencies, and professional capabilities, etc.