Qualifications to apply for fund sales business

Apply for fund sales business qualifications Article 12 of the "Measures for the Administration of Securities Investment Fund Sales"：Securities investment consulting agency applies 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：

1. There is a department dedicated to fund sales business；
2. Registered capital is not less than 20 million yuan，and must be paid-in monetary capital；
3. 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；
4. Continuously engage in securities investment consulting business for more than 3 full accounting years；
5. There has been no securities trading on behalf of investors in the past three years.；
6. Are not being investigated by regulatory agencies for any violations of laws or regulations，Or is in the process of rectification；Have not been subject to administrative penalties or criminal penalties in the past three years；
7. There are no major changes that have affected or may affect the company's normal operations.，or lawsuit、Arbitration and other major matters；
8. 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。

Article 13 of the Measures for the Administration of Sales of Securities Investment Funds：Independent fund sales agencies can specialize in the sales of funds and other financial products.，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 compliant organization name、Organization structure and business scope；
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。

Article 14 of the Measures for the Administration of Sales of Securities Investment Funds：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. Has not been subject to financial supervision in the past three years、Industry supervision、Industry and commerce、Administrative penalties imposed by taxation and other administrative departments；
4. In the past three 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.。

Article 12 of the Measures for the Administration of Sales of Securities Investment Funds：Securities investment consulting agency applies 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：

1. There is a department dedicated to fund sales business；
2. Registered capital is not less than 20 million yuan，and must be paid-in monetary capital；
3. 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；
4. Continuously engage in securities investment consulting business for more than 3 full accounting years；
5. There has been no securities trading on behalf of investors in the past three years.；
6. Are not being investigated by regulatory agencies for any violations of laws or regulations，Or is in the process of rectification；Have not been subject to administrative penalties or criminal penalties in the past three years；
7. There are no major changes that have affected or may affect the company's normal operations.，or lawsuit、Arbitration and other major matters；
8. 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。

Article 13 of the Measures for the Administration of Sales of Securities Investment Funds：Independent fund sales agencies can specialize in the sales of funds and other financial products.，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 compliant organization name、Organization structure and business scope；
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。

Article 14 of the Measures for the Administration of Sales of Securities Investment Funds：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. Has not been subject to financial supervision in the past three years、Industry supervision、Industry and commerce、Administrative penalties imposed by taxation and other administrative departments；
4. In the past three 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.。

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