Details of applying for a fund sales license|Agency fund sales license

How to apply for a fund sales license?深圳 港信通-作为办理基金销售牌照专家，has always been characterized by "openness"、share、responsibility、The concept of "taking responsibility" provides investors with dedicated fund sales license processing services.，Full guidance，Provide efficient services to customers，Create maximum value。

Welcome to inquire!Shenzhen Gangxintong-Business Co., Ltd. Consultant Gangxintong-Address：A fund sales license is a financial license required to engage in the sale of securities investment funds.，Securities investment fund sales include fund sales agencies’ promotion of funds，Offering fund shares，Handle fund share subscription、Redemption and other activities。Domestic fund sales institutions mainly include banks、fund、Securities and other financial institutions，Among them, banks are the largest channel，accounting for more than half。

2012Year，The central bank begins to open fund license applications to third-party financial institutions，That is to say，except bank、Funds and Securities，Third-party financial management companies that were originally engaged in the sale of private equity or trust products can also engage in the sale of securities investment funds.，To be more precise, it is securities investment fund agency sales.，These third-party financial institutions take the form of cooperation with fund companies。

According to the China Securities Regulatory Commission's "Directory of Publicly Offered Fund Sales Institutions"(2014August)，The license was issued in 2001，A total of 248 have been issued so far，Among them, 98 commercial banks、98 securities companies、3 futures companies、3 insurance companies、证券投资咨询机构6家、40 independent fund sales agencies。

1. 1Approval authority commercial bank(Including foreign corporate banks in China，The same below)、Securities company、Futures Company、insurance agency、Securities investment consulting agency、Independent fund sales agencies and other institutions recognized by the China Securities Regulatory Commission are engaged in fund sales business，You should register with the China Securities Regulatory Commission dispatched office in the place of industrial and commercial registration and obtain the corresponding qualifications.
2. 2Legal Basis "Measures for the Administration of Sales of Securities Investment Funds"
3. 3

Application conditions

commercial bank、Securities company、Futures Company、insurance agency、Securities investment consulting agency、Independent fund sales agencies and other institutions recognized by the China Securities Regulatory Commission apply for registration of fund sales business qualifications，The following conditions should be met：(one)Have a sound governance structure、Complete internal control and risk management system，and be effectively implemented;(two)Financial condition is good，Standard and stable operation;(three)Have business premises suitable for fund sales business、Security precautions and other facilities;(Four)There is safety、Efficiently handle fund offerings、Technical facilities for subscription and redemption operations，And it complies with the relevant regulations of the China Securities Regulatory Commission on the fund sales business information management platform.

Require

，The technical system of the fund sales business has been integrated with the fund manager、The corresponding technical systems of China Securities Depository and Clearing Corporation have been tested online.，The test results comply with national standards;(five)Developed a complete fund settlement process，Fund management complies with the China Securities Regulatory Commission’s regulations on fund sales and settlement fund management.

Require

;(six)There is a method system for evaluating the risk tolerance of fund investors and the risk level of fund products.;(seven)Developed a sound business process、Sales Personnel Professional Conduct、Emergency response measures and other fund sales business management systems，Comply with the relevant requirements of China Securities Regulatory Commission on the internal control of fund sales institutions.

Require

;(eight)Comply with laws and regulations

Require

anti-money laundering internal control system;(Nine)Other conditions specified by the China Securities Regulatory Commission。

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