注册基金销售的公司

注册基金销售的公司 目前很多金融近期进入到基金销售公司这个行业，So what are the conditions that need to be met to set up a fund sales company?

commercial bank、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) Good financial status，Standard and stable operation； (3) Having a business location 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

； (6) Have a method system for evaluating the risk tolerance of fund investors and the risk level of fund products； (7) Developing a complete 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，The following conditions should also be met： （一）为依法设立的有限责任公司、Partnership or other forms that comply with the provisions of the China Securities Regulatory Commission； (2) Having a business scope that complies with regulations； (3) Registered capital or capital contribution not less than 20 million yuan，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 institution.，or lawsuit、Arbitration and other major matters； (6) Senior managers have obtained fund professional 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。

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； （二）近3年没有受到刑事处罚； （三）近3年没有受到金融监管、Industry supervision、Industry and commerce、Administrative penalties imposed by taxation and other administrative departments； （四）近3年在自律管理、Commercial banks and other institutions have no bad records； (5) Not being investigated by regulatory agencies for any illegal or rule-breaking behavior or in the process of rectification

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