独立基金销售机构如何申请基金销售牌照！

独立基金销售机构如何申请基金销售牌照？

以下内容，由 港信通-为您整理 商业银行、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：

1. Have a sound governance structure、Complete internal control and risk management system，and be effectively implemented；
2. Financial condition is good，Standard and stable operation；
3. Have business premises suitable for fund sales business、Security precautions and other facilities；
4. 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；(5) Establishing a complete fund settlement process，Fund management complies with the China Securities Regulatory Commission’s regulations on fund sales and settlement fund management.

Require

；

1. There is a method system for evaluating the risk tolerance of fund investors and the risk level of fund products.；
2. 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

；(8) Compliance with laws and regulations

Require

anti-money laundering internal control system；(9) Other conditions stipulated by the China Securities Regulatory Commission。

Independent fund sales agencies can specialize in the sales of funds and other financial products.，Its qualification to apply for fund sales business，除具备本上述第

1. 点规定的条件外，The following conditions should also be met：
2. A limited liability company established in accordance with the law、Partnership or other forms that comply with the provisions of the China Securities Regulatory Commission；
3. Have a business scope that complies with regulations；
4. Registered capital or capital contribution shall not be less than RMB 20 million，and must be paid-in monetary capital；
5. Shareholders of a limited liability company or partners of a partnership comply with the provisions of these Measures；
6. There are no major changes that have affected or may affect the normal operation of the organization.，or lawsuit、Arbitration and other major matters；
7. Senior managers have obtained fund practitioner qualifications，Familiar with fund sales business，And have more than 2 years of work experience in fund business or more than 5 years of work experience in other financial-related institutions；
8. There should be no less than 10 persons who have obtained fund professional qualifications。

An independent fund sales agency is established in the form of a limited liability company，Its shareholders can be corporate legal persons or natural persons。

Corporate legal person participates in an independent fund sales agency，The following conditions should be met：

1. Continuous operation for more than 3 complete fiscal years，Financial condition is good，Standard and stable operation；
2. No criminal punishment has been imposed in the past 3 years；
3. Has not been subject to financial supervision in the past 3 years、Industry supervision、Industry and commerce、Administrative penalties imposed by taxation and other administrative departments；
4. In the past 3 years in self-discipline management、Commercial banks and other institutions have no bad records；
5. No violation of laws or regulations is currently being investigated by a regulatory agency or is in the process of rectification.。

Independent fund sales agency with natural person participation，The following conditions should be met：

1. engaged in securities、Fund or other financial business for more than 10 years or securities、Management of the fund business department for more than 5 years or serving as a securities、Senior managers in the fund industry with more than 3 years of work experience；
2. No criminal punishment has been imposed in the past 3 years；
3. Has not been subject to financial supervision in the past 3 years、Industry supervision、Industry and commerce、Administrative penalties imposed by taxation and other administrative departments；
4. in self-discipline management、Commercial banks and other institutions have no bad records；
5. No large amount of debt due and unpaid；
6. No other major bad integrity records in the past 3 years。

独立基金销售机构以合伙企业形式设立的，其合伙人应当具备以下条件：

1. engaged in securities、Fund or other financial business for more than 10 years or securities、Management of the fund business department for more than 5 years or serving as a securities、Senior managers in the fund industry with more than 3 years of work experience；
2. No criminal punishment has been imposed in the past 3 years；
3. Has not been subject to financial supervision in the past 3 years、Industry and commerce、Administrative penalties imposed by taxation and other administrative departments；
4. in self-discipline management、Commercial banks and other institutions have no bad records；
5. No large amount of debt due and unpaid；
6. No other major bad integrity records in the past 3 years。

独立基金销售机构牌照收紧【事件】：since the beginning of the year，As regulators tighten the licenses of independent fund sales agencies，The shell fees of independent fund sales agencies are rising all the time，From several million yuan at the end of last year to more than 20 million yuan now。 【解析】：It is understood，The tightening of approval is intended to reshuffle the cards through survival of the fittest.，Secondly, it is consistent with the idea of ​​comprehensively tightening the registration and filing business of private equity managers.。

保险公司发力自营平台抢占市场【事件】：中国保险行业协会新发布的《2025年上半年互联网人身保险市场运行状况分析报告》显示，61家经营互联网人身保险业务公司中，有45家自建官网进行销售，2025年上半年通过官网所实现的规模保费为

1. 9billion，是去年同期的
2. 7times。

【解析】：保险公司对自营互联网营销平台的重视程度愈发明显，自营平台的建设逐渐成为保险公司的“标配”。 港信通-累计为全国各企业申请到7家基金销售牌照公司。如果有需要可以与我们沟通。

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