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如何注册基金销售公司有哪些注意事项

基金销售牌照如何办理?设立基金销售公司

Things to note

基金销售公司注册

Application process

,。基金销售牌照如何办理?设立基金销售公司

Things to note

基金销售公司注册

Application process

,。

Registered capital or capital contribution shall not be less than RMB 20 million,and must be paid-in monetary capital;Shareholders of a limited liability company or partners of a partnership comply with the provisions of these Measures;There are no major changes that have affected or may affect the normal operation of the organization.,or lawsuit、Arbitration and other major matters;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;There should be no less than 10 persons who have obtained fund professional qualifications。

企业法人参股独立基金销售机构应当具备以下条件:(one)持续经营3个以上完整会计年度,Financial condition is good,运作规范稳定;(two)最近3年没有受到刑事处罚;(three)最近3年没有受到金融监管行业监管工商税务等行政管理部门的行政处罚;(Four)最近3年在自律管理商业银行等机构无不良记录;(five)没有因违法违规行为正在被监管机构调查或者正处于整改期间

自然人参股独立基金销售机构应当具备以下条件:(one)有从事证券基金或者其他金融业务10年以上或者证券基金业务部门管理5年以上或者担任证券基金行业高级管理人员3年以上的工作经历;(two)最近3年没有受到刑事处罚;(three)最近3年没有受到金融监管行业监管工商税务等行政管理部门的行政处罚;(Four)在自律管理商业银行等机构无不良记录;(five)无到期未清偿的数额较大的债务;(six)最近3年无其他重大不良诚信记录

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