What conditions need to be met to apply for a national fund sales license?

申请全国性的基金销售牌照需要满足以下这些条件：以下由 港信通-为您整理 商业银行、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：

1. Have a sound governance structure、Complete internal control and risk management system，and be effectively implemented；
2. Financial condition is good，Standard and stable operation；
3. Have business premises suitable for fund sales business、Security precautions and other facilities；
4. 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；(5) Establishing a complete fund settlement process，Fund management complies with the China Securities Regulatory Commission’s regulations on fund sales and settlement fund management.

Require

；

1. There is a method system for evaluating the risk tolerance of fund investors and the risk level of fund products.；
2. 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

；(8) Compliance with laws and regulations

Require

anti-money laundering internal control system；(9) Other conditions stipulated by the China Securities Regulatory Commission。

商业银行申请基金销售业务资格，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. The capital adequacy ratio complies with the relevant regulations of the Banking Regulatory Authority of the State Council；
3. Have not received any major administrative penalties or criminal penalties in the past three years；
4. 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；
5. 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.。

证券公司申请基金销售业务资格，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. Net capital and other financial risk monitoring indicators comply with relevant regulations of the China Securities Regulatory Commission；
3. There has been no misappropriation of customer assets or other behavior that harmed customer interests in the past three years.；
4. 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；
5. There are no major changes that have affected or may affect the company's normal operations.，or lawsuit、Arbitration and other major matters；
6. 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；
7. There should be no less than 30 persons who have obtained fund professional qualifications。

期货公司申请基金销售业务资格，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. Net capital and other financial risk monitoring indicators comply with relevant regulations of the China Securities Regulatory Commission；
3. In the past three years, there has been no misappropriation of customer deposits or other behavior that harmed the interests of customers.；
4. 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；
5. There are no major changes that have affected or may affect the company's normal operations.，or lawsuit、Arbitration and other major matters；
6. 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；
7. There should be no less than 20 persons who have obtained fund professional qualifications。

保险机构是指在中华人民共和国境内经中国保险监督管理委员会批准设立的保险公司、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：

1. There is a department dedicated to fund sales business；
2. Registered capital is not less than RMB 500 million；
3. The solvency adequacy ratio complies with the relevant regulations of the Insurance Regulatory Authority of the State Council.；
4. 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；
5. There are no major changes or lawsuits that have affected or may affect the company's normal operations.、Arbitration and other major matters；
6. 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；
7. 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：

1. There is a department dedicated to fund sales business；
2. Registered capital shall not be less than RMB 50 million，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. 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；
5. There are no major changes or lawsuits that have affected or may affect the company's normal operations.、Arbitration and other major matters；
6. 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；
7. There should be no less than 10 persons who have obtained fund professional qualifications。

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 received any major 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；
9. There should be no less than 10 persons who have obtained fund professional qualifications。

Independent fund sales agencies can specialize in the sales of funds and other financial products.，Its qualification to apply for fund sales business，除具备本上述第

1. 点规定的条件外，The following conditions should also be met：
2. 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；
3. Have a business scope that complies with regulations；
4. Registered capital or capital contribution shall not be less than RMB 20 million，and must be paid-in monetary capital；
5. Shareholders of a limited liability company or partners of a partnership comply with the provisions of these Measures；
6. There are no major changes that have affected or may affect the normal operation of the organization.，or lawsuit、Arbitration and other major matters；
7. 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；
8. There should be no less than 10 persons who have obtained fund professional qualifications。

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 3 years；
3. 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；
4. In the past 3 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.。

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 3 years；
3. 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；
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 3 years。

独立基金销售机构以合伙企业形式设立的，其合伙人应当具备以下条件：

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 3 years；
3. Has not been subject to financial supervision in the past 3 years、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 3 years。

伴随着经济的高速发展，高净值人群也随之越来越多。他们对闲置资金的投资需求也日益旺盛，而私募基金凭借着高收益等

Advantages

也逐渐成为这类人群的投资必备。排排君对市场主流的几大私募基金销售渠道进行了汇总，希望对投资者有所帮助。

在讲私募基金销售之前我们先来回顾下什么是私募：私募基金不同于公募基金的公开化、大众化等特点，私募基金则更加私人化、小众化，即它只能私下或直接面向特定的群体进行资金募集，因此在基金销售上更多的是依赖私募基金公司本身、Brokerage firm、投资银行等直接渠道，而不能借助广告宣传等其他传播媒体进行产品的宣传与推介等。

当前比较常见的私募基金销售渠道可以分为两大类直 销直销也就是私募自行销售。这类销售方式一般适合那些号召力大、市场影响力强的私募基金管理人，比如拥有明星私募基金经理、业绩突出产品、券商明星分析师等的私募。

代 销经纪商销售这类经纪商包括证券公司及期货公司等，他们一方面对投顾比较熟悉和有信心，另一方面还能通过销售私募产品获取一定的佣金收入、通道收入及服务收入，同时提升结算量、规模存量等业绩，因此经纪商跟各大私募有着比较强烈的合作意愿。

第三方平台销售第三方平台都是专业的私募产品销售机构，因此有着其他渠道无法比拟的几大

Advantages

：拥有各类风险收益偏好不同的高净值客户，因此可以根据客户的实际需求提供更加匹配的产品，另外还能在法律允许的范围内，借助平台及合作方的力量为私募基金向合格投资者开展一定程度的宣传。

港信通-为全国各企业成功申请到了7块基金销售牌照。If necessary，欢迎电话咨询

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