Port communicationHong Kong Xintong-Today I will introduce to you the fund sales license
Application conditions
，Let’s learn together!
one、An independent fund sales agency applying for fund sales business qualifications must meet the following conditions:：1、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；2、Have a business scope that complies with regulations；3、Registered capital or capital contribution shall not be less than RMB 20 million，and must be paid-in monetary capital；4、Shareholders of a limited liability company or partners of a partnership comply with the provisions of these Measures；5、There are no major changes that have affected or may affect the normal operation of the organization.，or lawsuit、Arbitration and other major matters；6、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；7、There should be no less than 10 persons who have obtained fund professional qualifications。
two、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 three years；3、Not 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 three years, I have been working 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 three years；3、Not 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 three years。
If you still want to know more about this aspect，Welcome to consult Hong Kong Xintong at any time!
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。
