Port communicationShenzhen Hong Kong Xintong-provides fund sales、Financial leasing and commercial factoring company registration and operation overall solution service provider。Conditions for applying for a fund sales license and
Require
，Contact Hong Kong Xintong-：Article 8 Fund managers may handle the sales business of fund products raised by them。
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.。
Article 9 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。
Article 10 Commercial banks apply for fund sales business qualifications，In addition to meeting the conditions specified in Article 9 of these Measures，The following conditions should also be met：(one)There is a department dedicated to fund sales business; (two)The capital adequacy ratio complies with the relevant regulations of the Banking Regulatory Authority of the State Council;(three)Have not received any major administrative penalties or criminal penalties in the past three years;(Four)The company's department responsible for the fund sales business must have at least 1/2 of the number of employees in the department who have obtained fund qualifications.，Department managers responsible for fund sales business obtain 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;The persons in charge of the fund sales business of the company’s main branches have obtained fund practitioner qualifications;(five)state-owned commercial bank、There shall be no less than 30 persons with fund practitioner qualifications in joint-stock commercial banks and Postal Savings Bank.;city commercial bank、rural commercial bank、There should be no less than 20 persons with fund professional qualifications in foreign-funded corporate banks in China.。
Article 11 Securities companies apply for fund sales business qualifications，In addition to meeting the conditions specified in Article 9 of these Measures，The following conditions should also be met：(one)There is a department dedicated to fund sales business; (two)Net capital and other financial risk monitoring indicators comply with relevant regulations of the China Securities Regulatory Commission;(three)There has been no misappropriation of customer assets or other behavior that harmed customer interests in the past three years.;(Four)No violation of laws or regulations is currently being investigated by a regulatory agency or is in the process of rectification.，Have not received any major administrative penalties or criminal penalties in the past three years;(five)There are no major changes that have affected or may affect the company's normal operations.，or lawsuit、Arbitration and other major matters;(six)The company's department responsible for the fund sales business must have at least 1/2 of the number of employees in the department who have obtained fund qualifications.，Department managers responsible for fund sales business obtain 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;The persons in charge of the fund sales business of the company’s main branches have obtained fund practitioner qualifications;(seven)There should be no less than 30 persons who have obtained fund professional qualifications。
Article 12 Futures companies apply for fund sales business qualifications，In addition to meeting the conditions specified in Article 9 of these Measures，The following conditions should also be met：(one)There is a department dedicated to fund sales business; (two)Net capital and other financial risk monitoring indicators comply with relevant regulations of the China Securities Regulatory Commission;(three)In the past three years, there has been no misappropriation of customer deposits or other behavior that harmed the interests of customers.;(Four)No violation of laws or regulations is currently being investigated by a regulatory agency or is in the process of rectification.，Have not received any major administrative penalties or criminal penalties in the past three years;(five)There are no major changes that have affected or may affect the company's normal operations.，or lawsuit、Arbitration and other major matters;(six)The company's department responsible for the fund sales business must have at least 1/2 of the number of employees in the department who have obtained fund qualifications.，Department managers responsible for fund sales business obtain 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;The persons in charge of the fund sales business of the company’s main branches have obtained fund practitioner qualifications;(seven)There should be no less than 20 persons who have obtained fund professional qualifications。
Article 13 Insurance institutions refer to insurance companies established within the territory of the People’s Republic of China with the approval of the China Insurance Regulatory Commission、Insurance Brokers and Insurance Agencies。
Insurance companies apply for fund sales business qualifications，In addition to meeting the conditions specified in Article 9 of these Measures，The following conditions should also be met： (one)There is a department dedicated to fund sales business;(two)Registered capital is not less than RMB 500 million; (three)The solvency adequacy ratio complies with the relevant regulations of the Insurance Regulatory Authority of the State Council.;(Four)No violation of laws or regulations is currently being investigated by a regulatory agency or is in the process of rectification.，Have not received any major administrative penalties or criminal penalties in the past three years;(five)There are no major changes or lawsuits that have affected or may affect the company's normal operations.、Arbitration and other major matters;(six)The company's department responsible for the fund sales business must have at least 1/2 of the number of employees in the department who have obtained fund qualifications.，Department managers responsible for fund sales business obtain 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;The persons in charge of the fund sales business of the company’s main branches have obtained fund practitioner qualifications;(seven)There should be no less than 30 persons who have obtained fund professional qualifications。
Insurance brokerage companies and insurance agency companies apply for fund sales business qualifications，In addition to meeting the conditions specified in Article 9 of these Measures，The following conditions should also be met：(one)There is a department dedicated to fund sales business; (two)Registered capital shall not be less than RMB 50 million，and must be paid-in monetary capital;(three)The company’s senior managers responsible for fund sales business 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;(Four)No violation of laws or regulations is currently being investigated by a regulatory agency or is in the process of rectification.，Have not received any major administrative penalties or criminal penalties in the past three years;(five)There are no major changes or lawsuits that have affected or may affect the company's normal operations.、Arbitration and other major matters;(six)The company's department responsible for the fund sales business must have at least 1/2 of the number of employees in the department who have obtained fund qualifications.，Department managers responsible for fund sales business obtain 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;The persons in charge of the fund sales business of the company’s main branches have obtained fund practitioner qualifications;(seven)There should be no less than 10 persons who have obtained fund professional qualifications。
Article 14 Securities investment consulting institutions apply for fund sales business qualifications，In addition to meeting the conditions specified in Article 9 of these Measures，The following conditions should also be met：(one)There is a department dedicated to fund sales business; (two)Registered capital is not less than 20 million yuan，and must be paid-in monetary capital;(three)The company’s senior managers responsible for fund sales business 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;(Four)Continuously engage in securities investment consulting business for more than 3 full accounting years; (five)There has been no securities trading on behalf of investors in the past three years.;(six)Are not being investigated by regulatory agencies for any violations of laws or regulations，Or is in the process of rectification;Have not received any major administrative penalties or criminal penalties in the past three years;(seven)There are no major changes that have affected or may affect the company's normal operations.，or lawsuit、Arbitration and other major matters;(eight)The company's department responsible for the fund sales business must have at least 1/2 of the number of employees in the department who have obtained fund qualifications.，Department managers responsible for fund sales business obtain 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;The persons in charge of the fund sales business of the company’s main branches have obtained fund practitioner qualifications;(Nine)There should be no less than 10 persons who have obtained fund professional qualifications。
Shenzhen Hong Kong Xintong-Main Projects：Fund sales company established，Fund sales license application，Financial leasing company establishment，Commercial factoring company establishment，insurance agent license，Insurance broker license application, etc.。。。。。。Shenzhen Hong Kong Xintong-Business Co., Ltd. If you have any questions, I don’t know much about it.，Then please contact [Hong Kong Xintong-] Hong Kong Xintong-：We will respond to your questions as soon as possible，Provide you with specific solutions
About Hong Kong Xintong
Hong Kong Xintong focuses onGuangdong and Hong Kong license plates、Shenzhen Hazardous Chemicals Business License、Shenzhen labor dispatch licenseandShenzhen Charity Foundationapplication services，Assist customers to applyShenzhen travel agency business license、Shenzhen pawn shop business license、Shenzhen auction house license and other mainstream domestic financial licenses，Support enterprises to achieve compliance expansion of cross-border financial business。Also availableODI overseas investment registration、International travel agency registration and other services，Help enterprises expand their presence in international markets。Provide one-stop compliance solutions for enterprises。To learn more，Please contactHong Kong Information Communications Consultant。
