牛市还会来吗？公募基金销售牌照办理对于股东高管有哪些要求？

牛市还会来吗？公募基金销售牌照办理对于股东高管有哪些

Require

？牛市还会来吗？公募基金销售牌照办理对于股东高管有哪些

Require

？ 独立基金销售牌照办理对于审批过程中你需要关注那些问题？

目前在新基金销售中，The five major state-owned banks and other larger joint-stock banks account for 40 to 50% of fund sales，Brokerages may be 20 to 30%，In fact, only about 20% of third-party sales agencies，About 20% is currently divided among several Internet giants，In the future, Tencent’s participation will surely deprive commercial banks and securities firms of their territory.。

Obtained a fund sales license，On the one hand, I want to engage in third-party wealth management，Sales of public funds or various asset management plans，All need to obtain a fund distribution license；on the other hand，Utilize a fund distribution license，Can raise funds more easily；also，Some of them buy shells and fry them.。 据港信通国际金融专家分析，Some institutions are eager for fund sales licenses。

for example，JD Finance、Ant Financial、Tencent and these platforms all hold fund agency licenses。Institutions with fund distribution licenses，Funds can be sold、Brokerage asset management plan。 Take Tencent, which obtained a fund sales license this year as an example.，According to the announcement of the China Securities Regulatory Commission on January 2, 2025，Tencent gets its own fund sales license。

此前微信理财通上基金销售主要通过基金公司直销以及借助好买基金的通道代销两种模式。Among them, monetary funds mainly use the former，While other funds use the latter。

Because Tencent did not have a fund sales license before，Therefore, the variety of fund products sold on the platform is limited.，Poor user experience，此后腾讯可通过10亿的微信活跃用户以及其强大的产品团队，Ant Financial and Tiantian Fund are catching up in the field of fund sales.。

And recently，With the strengthening of supervision，Unlicensed sales are not allowed，机构对基金销售牌照的渴望正进一步升级 独立基金销售机构可以专业从事基金及其他金融理财产品销售，Its qualification to apply for fund sales business，In addition to meeting the conditions specified in Article 9 of these Measures，The following conditions should also be met：

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. 取得基金从业资格的人员不少于10人 自然人参股独立基金销售机构，The following conditions should be met：
8. 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 (subject to the CIRC，Securities Regulatory Commission，Relevant financial industries regulated by the China Banking Regulatory Commission，For example, public fund companies，securities，Insurance，futures，exchange，small loan，pawn shop，Financing guarantees, etc.，Issue a certificate of employment，The proof of practice must be approved by a lawyer)；
9. No criminal punishment has been imposed in the past 3 years；
10. 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；
11. in self-discipline management、Commercial banks and other institutions have no bad records；
12. No large amount of debt due and unpaid；
13. No other major bad integrity records in the past 3 years。

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