申请注册基金销售业务资格

申请注册基金销售业务资格，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。

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 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. There should be no less than 10 persons who have obtained fund professional qualifications。

第十六条独立基金销售机构以有限责任公司形式设立的，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。

第十七条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 three years；
3. Not 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 three years。

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。